How to Start Your Own RIA Firm
In my previous article on the affiliation options that an advisor has, I led you to the point of deciding whether you wanted to be an employee advisor, an independent contractor advisor or your own registered investment advisor.
Top Portfolio Products: First Trust Launches Eurozone ETF
Meanwhile, Global X adds two ETFs based on JPMorgan's Efficiente and U.S. Sector Rotator indexes.
New Hire Roundup: Vanguard’s McNabb to Serve Additional Term at ICI
Meanwhile, Dynasty Financial Partners announced a new partnering with Nova Wealth Advisors.
How I Track My Clients’ Needs
Here's how I keep track of what I need to accomplish with my clients and my business, but am I being efficient?
Why I Won’t Sell Life Insurance Any More
Over the last seven years, I’ve sold life insurance policies when necessary, but here’s why I won’t offer any more insurance products to clients.
F-Squared Investments Says Regulators Consider Civil Action
F-Squared Investments, one of the largest managers of ETF investment products, said U.S. regulators were considering a civil action over performance claims.
Smaller Asset Management Firms Can Have Big Brands
Just ask PIMCO: smaller firms that “punch above their weight” can leverage their brand better than larger firms that have lost momentum, consultancy Landor says.
Allianz Backs ‘Legend’ Bill Gross as PIMCO Total Return Lags
“We want Bill Gross to work as CIO for as long as he is willing and able,” says Allianz board member Jay Ralph.
SEC's Blass to Become ICI's General Counsel
David Blass, chief counsel and associate director of the SEC's Division of Trading and Markets, will become the ICI's general counsel in September.
FINRA Enforcement: Goldman Fined $800,000 for Trade-Through Failures
In other actions, Morgan Stanley was fined $100,000 on private wealth management failures.