Schwab’s Advisor, Retail Chiefs Talk Wealth Management
Bernie Clark of Schwab Advisor Services and Terry Kallsen of Schwab retail speak of Generation Now, robos and referrals.
Stable Value Fund Group Makes Pitch to Risk-Averse Millennials
Stable value funds are ideal investments for millennial investors, according to Gina Mitchell, president of the Stable Value Investment Association.
Advisors Break Out Champagne, Are Bullish on 2015
Clients aren't so optimistic, however. SEI Advisor Network says now is the time to discuss contingency plans with them.
SEC Pushes to Test Effectiveness of Investor Disclosures
“We should formulate a plan to incorporate thorough investor testing into as many of our projects as possible,” SEC Commissioner Kara Stein said.
Why Aren’t CFPs Always Subject to a Fiduciary Standard?
The CFP Board's rules on the matter are hard to discern, owing in no small part to essential details appearing separately in three different places.
House to Vote on Tax Extender Bill by Thursday
The Tax Increase Prevention Act of 2014 will extend until year-end tax provisions that expired on Dec. 31, 2013.
Six Do’s and Don’ts for Advisor Due Diligence
The key is to tailor a due diligence program to your specific practice and the potential risk posed by each third-party service provider.
Hispanic, Minority-Owned Businesses an Untapped Advisor Opportunity
Advisor James Perez-Foster encourages advisors to start serving this fast-growing small business segment, as he has done with much success.
Hussman’s Returns, Like His Forecasts, Are Dismal: Analysis
If a person can be too smart for his own good, portfolio manager John Hussman may be feeling the agony of high intelligence right now.
How Fiduciary Advisors Can Change Wall Street—Again
Ron Rogé and NAPFA pushed, and the public pulled, big brokerages to adopt an AUM model. The same can be done with a fiduciary standard.