Satisfaction Guaranteed?
By Staff WriterA recent private-letter ruling issued by the SEC giving advisors the okay to provide certain new clients with a "satisfaction guarantee" is causing quite a...
April 01, 2005
What's the SEC spending?One of the more prominent issues these days for RIAs and broker/dealers alike is compliance. Research conducted by the AdvisorBenchmarking unit of Rydex (see page...
April 01, 2005
Fidelity Versus SchwabFidelity's advice offerings are not as broad as Charles Schwab's. For instance, Fidelity does not advise on individual stocks. It does offer Lehman Brothers' research,...
April 01, 2005
Looking backInvestment Advisor has published an annual planning technology directory since 1997. Below are some excerpts from an article kicking off our tech directory in April...
April 01, 2005
Savings InitiativeSenator Craig Thomas (R-WY) and Rep. Sam Johnson (R-TX) introduced legislation last month calling for the adoption of the Bush Administration's savings accounts--Lifetime Savings Accounts...
April 01, 2005
Sample Partner Policy StatementPartner Policy Statement The selection of new partners is critical to achieving the Firm's succession goals and sustaining professional pride and job satisfaction. The goal for...
April 01, 2005
More Notes from the Gen Wars"The Great Divide" (February 2005) made strong assertions about the current state of financial planning. I am a 22-year-old newly-minted fee-only financial planner and while...
April 01, 2005
Hand in HandIf investment advisors are the quarterbacks of their clients' financial planning squad, accountants are often important skill players on that team, performing essential duties that...