SEC's Gallagher: Fiduciary Debate Is Unfair
Daniel Gallagher, one of the Securities and Exchange Commission's two Republican commissioners, has been very vocal as of late regarding his belief that the agency doesn't need to write a rule to put brokers under a fiduciary mandate.
Where Edward Jones Is Tapping Talent
The brokerage has revamped its recruiting strategy—with dramatic results.
Sallie Krawcheck, Booster of Women on Wall St.: The 2014 IA 25 Profile
Sallie Krawcheck’s “real career” started “just shy of 30,” when she became a research analyst, she told IA in an interview.
Honoring Advisors Who Serve(d): Memorial Day, 2014
On Memorial Day, ThinkAdvisor continues our tradition of honoring advisors and their partners who served in the U.S. armed forces and sharing their stories.
Harvey Pitt’s Solution to SEC’s RIA Exam Shortfall
SEC Chairwoman Mary Jo White says third-party exams are a “creative idea,” but there are “a number of issues.” Ex-Chairman Pitt offers one solution.
Michael Kitces, Nerd Who Does It All: The 2014 IA 25 Profile
One has to wonder how Michael Kitces does it: the advisor, blogger, Twitterphile and industry speaker is constantly evolving and taking on new challenges.
Ritholtz: What Kills You and Your Investments
"You don’t understand risk," writes Barry Ritholtz. "If you did, you would live longer, have less fear and, eventually, a much bigger investment portfolio."
FINRA’s ‘Total Warfare’ Against Brokers in Arbitration
Breakaway brokers and pros across the financial industry cite biased panelists, missing hearing records and a 93% win rate for brokerages.
At Summit, Envestnet Unveils Education Portal for Advisors, Upgrade for Tamarac
Portal uses content from Vanguard, Putnam, Russell and Brinker; tech upgrade meant to enhance current client experience and help attract the "next generations of investors."
Are You a David or a Goliath? How Advisors Can Hone Their Innovation Skills
Jud Bergman calls on advisors at the Envestnet Advisor Summit to become “disruptive innovators,” leveraging their fiduciary, human capital and technology strengths to overcome the Goliaths of the world.