Are You an ‘Internet Adviser?’ A 10-Year-Old SEC Rule Predated Robo-Advisors
SEC Rule 203A-2(e) governs registration requirements for advisors delivering advice by the Internet. Here’s how to stay compliant with this foresighted rule.
Want Referrals for New Clients? Get Them on the Web
A Paladin Registry survey makes a pretty compelling case that there is plenty of opportunity for independent advisors to get clients on the Web.
CFB Board Creates Another Three-Bucket Mess on Compensation
Rick Kahler’s "fee-only" trouble demonstrates the limitations of the CFP Board’s compensation rules.
Ritholtz to Alt Fund Investors: Beware ‘Negative Alpha’
Barry Ritholtz asks: Why should individual investors want to invest like a hedge fund?
How Advisors Use Liquid Alts: The Business Continuity Issue
Advisors use liquid alternative investments for several reasons, like to reduce portfolio volatility. One of the overlooked reasons involves the health of their own firms.
FINRA Move on Brokers' Expungement a Good First Step
Over the past five years, state securities regulators have used the CRD and IARD public records to weed out more than 20,000 bad actors.
Client Calendars Show Clients How Much You Do for Them
Client service calendars let your clients know that you and your firm are actively taking care of their finances throughout the year.
The Case for a New Advisor Designation: ‘Fiduciary-Only' Advisors
“Fiduciary-Only” advisors would create a new level of trust between retail investors and advisors — and become the next “powerful marketing tool.”
New ETF Based on Workplace Equality Index
Years ago, Denver Investments built an index of companies with gay-friendly workplaces. Now it's rolled out an ETF to meet like-minded investors' needs.
When Outsourcing Investment Management Makes Sense
Outsourcing your investment management duties might not be as expensive as you think.