Luring Millennials Is a Waste, Take 2: Serving the Children of Clients Makes Sense
It seems pretty clear that millennial clients are not going to fit into the AUM fee business model of many independent advisors. However...
The Medium Is the Message, When the Subject Is Investor Protection
The Committee for the Fiduciary Standard suggests mainstream media have an important role in investor protection, but I wonder if the emphasis is misplaced.
The Two, and Quite Different, Types of Advisors
There are ideological advisors and materialistic advisors; clients need to know the difference.
The New and (Not) Improved Exam Process
Has the examination process changed post-Madoff? You betcha!
Advertising Advisor Services and Credentials
Section 206 of the Investment Advisers Act contains the anti-fraud provision of the statute and ensures that RIAs advertising and marketing practices are consistent with the fiduciary duty owed to clients and prospective clients.