What’s All the Fuss About Schapiro?
By the time you read this, Elisse Walter (at least temporarily) has replaced Mary Schapiro as chairman of the SEC.
Tom Giachetti’s 10 Blunt Compliance Warnings
The federal compliance picture: What SEC examiners want. The local compliance picture: State examiners "are not your friends."
What Advisors Need to Know Before Going Independent
A webinar hosted by AdvisorOne presented guidance on how advisors can decide whether to break away—and if so, some of the essentials they should know to make it a successful move.
Advisors Going Independent: The Issues, the Costs, the Payoffs
A Sept. 25 Web seminar featuring Tom Giachetti, Tim Welsh and David Patchen addresses the key issues for any advisor looking to 'break away' from a wirehouse, change broker-dealers or go completely independent as a RIA.
Should Practice Management Really Be Eligible for CE? Part 1
Who wants a doctor who skipped classes on the latest medical treatments to instead learn about marketing or a new billing software?
Three Big Trends in RIA Industry: 2012 TechLeaders Conference
Tim Welsh, president and founder of Nexus Strategy, discussed several major trends in the RIA space, like stronger demand for independent advisors and Canadians looking southward.
Financial Advisors and Social Media—Shall We Dance?
In advisor and software guru Greg Friedman's premiere blog for AdvisorOne, suggestions on how advisors can make strategic sense out of social media.
Three-City Workshop Will Address Integrating CRM and ECM
Compliance workshop features Tom Giachetti, Greg Friedman and Tim Welsh on benefits of software integration.
Schwab’s Clark: Firm Rolling Out Ad Campaign Touting Advisors—Weekend Interview
Bernie Clark of Schwab Advisor Services says custodian will show support for RIAs through multimedia marketing campaign featuring videos of successful advisors.
When It Comes to Social Media Policy, Don’t Wait, Counsels Attorney Burns
A new white paper written with Tim Welsh of Nexus warns of social media’s risk management issues but also raises the business opportunities for advisors.