Examiners Get Tough
Understanding the inner workings and pressures on the SEC is valuable to advisors, but RIAs are mostly worried about SEC examiners—and they should be, according to Tom Giachetti, chair of the securities practice group at Stark & Stark. “They’re assuming you’re doing something wrong,” said Giachetti of SEC examiners under...
All Americans: The 2014 SMA Managers of the Year
The 10th annual SMA Managers of the Year differ in size, process and ZIP code, but they’re all at the top of their investment game.
Gundlach Outlines Market, Other Trends
DoubleLine CEO Jeffrey Gundlach says there's some upside potential for gold and good support for a strong U.S. dollar. He shared these views during his “Penny for Your Thoughts” webinar in mid-June.
The IA 25 for 2014
This is our 12th annual IA 25 list, bringing together the most influential people in and around the advisor industry.
Top 5 Issues Reshaping Retirement Planning in 2014
These are the biggest forces shaping the new reality of retirement. Be prepared.
Making Choices; 4 Trends for the Future; Unlocking Information: December Investment Advisor—Slideshow
It’s a too-familiar problem: paralysis-inducing numbers of choices that leave consumers wondering how they’ll ever make a decision.
The 2013 Broker-Dealers of the Year; Connecting With a New Demographic; BD Back-Office Challenges: September Investment Advisor — Slideshow
Once again, the reps have voted and named the best broker-dealers in the industry.
The 2013 SMA Managers of the Year; 2013 BD Presidents’ Poll and Reference Guide: June Investment Advisor—Slideshow
For the 2013 SMA Managers of the Year, uncertainty is just part of doing business, and it hasn’t stopped them from outperforming their peers.
Consistently the Best: The 2013 SMA Managers of the Year
Change is the only constant in our increasingly hyperconnected and volatile world, which makes the superior outperformance of our 2013 SMA Managers of the Year all the more impressive.
Moving Toward Harmony
Probing the mind of Olivia Mellan, a pioneer on the psychology of money, and how advisors can use her insights with clients.