Advisor: Does Your Firm Have Investment Discretion?
By Chris StanleyInvestment discretion is not to be taken lightly, since it is intertwined with other regulatory concepts and even ERISA. Can you say "DOL fiduciary rule"?
August 30, 2016
Where Can Advisors Find Valuable Health Care Advice?Jamie Hopkins joins Dr. Katy Votava to discuss how financial advisors can find resources for quality health care advice to recommend to their clients.
August 30, 2016
Growth in AUM, Revenue Halved for RIAs in 2015: FA InsightFirms that are merely riding the market tide are being left behind their peers, FA Insight finds.
August 26, 2016
SEC Increases Amount of Data Advisors Must Include on Form ADVSEC adopted final amendments Thursday requiring advisors to disclose more information on Forms ADV about their use of SMAs, branch office operations and social media.
August 26, 2016
What Advisors May Not Know About the DOL Fiduciary RulePension law attorney Marcia Wagner lays out not just the basics of the rule but some details that may surprise you.
August 24, 2016
BlackRock’s FutureAdvisor Announces Another Partner for Its Robo-Advisor PlatformBlackRocks FutureAdvisor platform is adding an automated investing option for clients of U.S. Bancorp Investments.
August 23, 2016
6 Ways Advisors Can Protect Against 401(k) LawsuitsMarketCounsel CEO Brian Hamburger talks about how advisors can limit liability as the lawsuits against 401(k) and 403(b) plans proliferate.
August 23, 2016
Robo-Advice Boosting RIAs' Client Rosters: ReportAutomated advice drove a 22.4% increase in the number of RIA clients, according to a report from IAA and NRS.