Have the CFP Board’s Recent Punishments Fit the Crimes?
First, do no harm. Was harm done in the cases of Ron Rhoades, “fee-only” wirehouse brokers and the Camardas?
2014 Tech Goal: Go Where Your Clients Are
Stuart DePina, Neal Ringquist and Doug Besso talk about the state of advisor technology and how tech tools can help RIAs thrive.
Advisors’ Biggest Retirement Blind Spot May Be Their Own
FPA-sponsored study finds most advisors are not properly managing their own business affairs, but younger advisors are bucking the trend.
HighTower Advisors: The New Face of Fiduciary?
Does any advisor have "zero conflicts of interest?"
2012 Fiduciary Findings Pt. 2: How Advisors Feel About Effects of Fiduciary Standard
The second annual AdvisorOne-fi360 survey gauging advisors' attitudes on the fiduciary standard found that many respondents would welcome a DOL-like fiduciary standard on retirement accounts.
2012 IA 25; Investing in Russia; Tech and ROI: May Investment Advisor—Slideshow
May brings the 10th annual IA 25 (well, ninth if you don’t count our special 30th anniversary edition, “Thirty for Thirty,” in 2010), Investment Advisor’s editors’ pick of the 25 most influential people in the industry.
The 2012 IA 25
Some people ride a wave and some people, like the honorees of the 10th annual IA 25, create a wave.
Elliot Weissbluth: The 2012 IA 25 Extended Profile
Some people ride a wave, and some people create a wave. Elliot Weissbluth is a creator.
Are RIAs Really a Bigger Regulatory Problem Than Brokers?
A look at the number of enforcement actions against each group provides a ready answer: part two of a series on the Bizarro World inside the beltway
Wirehouses Seen Making Big Push Into Independent BD Space
An industry analyst predicts that several of the wirehouse brokerage firms will soon be entering the independent broker-dealer market—a bold forecast given the wirehouses’ longtime stance against the practice.