CAPTRUST and CapTrust Reunite
The two firms split in 1998 but had operated as part of the larger CapTrust organization.
Will CFP Board Make History?
The standards move financial planners towards professionalism on a number of fronts, but more steps need to be taken in three areas.
Most MEPs Are in Healthy ‘Green Zone’: Survey
Investment returns have been driving healthy funded ratios since the financial crisis, Segal Consulting reports.
Are You Ready for T+2?
The shorter settlement period for trades — two days instead of three — has implications for financial advisors.
Regulatory Considerations When Bringing On a New Advisor
There are many legal and compliance considerations to keep in mind when adding an advisor to your firm.
DFA Announces Second Leadership Shakeup This Year
Co-CEO Eduardo Repetto is leaving; current co-CIO Gerard O'Reilly will replaces him in September.
SEC Issues More Guidance on Form ADV Changes
IM Division provides guidance on new filing requirement for firms that file an “other-than-annual amendment.”
What’s an Aging Advisor to Do? Join an RIA
After helping retiring clients for their whole career, many veteran advisors may not know how to help themselves in the midst of a changed industry.
Saturna Capital Launches Clean Shares for Two Funds: Portfolio Products
Also, Carlson Capital Management adds a low-cost DFA Minnesota muni bond fund to its portfolio lineup.
What to Do When Clients Lie
"Working With Difficult People" author Raphael Lapin talks to ThinkAdvisor about how advisors can handle dishonesty from clients, co-workers and bosses.