New Hire Roundup: Rogers, Wolf Move Up at Gemini
This week in new hires, Andrew Rogers and Kevin Wolf moved up in the management ranks at Gemini; John Sullivan went to Dynasty Financial Partners; and Jonathan Bergman joined TAG Associates.
It’s Not Too Late to Make Your Voice Heard on SRO Bill
If you’re not in favor of having FINRA become the SRO for RIAs, join the advisor grass-roots effort to advocate with Congress against Bachus bill.
RIAs, Anticipating Growth, Plan to Add Staff This Year
With their client rosters and assets growing, independent RIAs are staffing up, and many are adding women to their employee ranks, according to a survey released Tuesday by TD Ameritrade Institutional.
Combatants Gear Up for SRO Hearing
Their collective rallying cry: an SRO isn’t needed—particularly if that SRO is FINRA. What to do instead? Fund the SEC so that it can conduct more frequent advisor exams.
TD Ameritrade Marketing Tool Promotes Fiduciary Benefits
“RIAs need to market their fiduciary standard of care every chance they can,” said Tom Nally, president of TDAI.
Tom Nally: The 2012 IA 25 Extended Profile
Having spent nearly 20 years serving registered investment advisors in TD Ameritrade’s RIA segment, Tom Nally is ready to face what may be his greatest challenge.
Worst-Case Scenario Is Diluted Fiduciary Standard: TD’s Nally
At NAPFA National, the new head of TDAI made the case for RIAs, younger advisors and female clients, but fretted about Dodd-Frank implementation, and urged advisors to “focus on running a business.”
New Hire Roundup: TD Ameritrade Institutional Welcomes Gaze
This week in new hires, Christine Gaze joined TD Ameritrade Institutional, Robert Bernstein went to Windham Capital and Raymond James confirmed the appointment of John Carson as president of its board.
The 2012 IA 25
Some people ride a wave and some people, like the honorees of the 10th annual IA 25, create a wave.
Special Report: The 2012 IA 25
Throughout the rest of April and May, we’ll be publishing extended versions of each profile, including exclusive interviews, on AdvisorOne.