SEC: ‘Financial Myth Buster’ Dawn Bennett Spun a Myth About Her Firm’s Assets
By Melanie WaddellThe host of a radio show, "Financial Myth Busting With Dawn Bennett," and her firm are accused of inflating their AUM.
September 04, 2015
5 New Compliance Headaches for Advisors, BDsAs Labor Day approaches, here are five big compliance developments advisors may have missed in recent months.
September 04, 2015
CFP Board Sanctions 2 More CFPs Over ‘Fee-Only’ Comp StatusCFP Board has issued public disciplinary actions against two CFPs for misrepresenting their compensation method as "fee-only."
September 02, 2015
Recruiting Roundup: Morgan Stanley Grabs $1B Pair From CitiThe team comes on board in New York, while a Barclays rep joins the wirehouse in Boca Raton.
September 02, 2015
Advisor M&A on a Tear in 2015: SchwabBoth the number and value of deals increased in the first half of the year; the average deal size was $1.3 billion in AUM.
August 31, 2015
Relationships End Where They BeginIn his 2007 book Blink, Malcolm Gladwell combines a broad spectrum of research to make the case for the power of first impressions.
August 31, 2015
Flat Fees vs. AUM Recap: The Good, the Bad and the Really?Recapping the arguments for retainer fees or charging on an AUM business. What's best for clients, and advisors?
August 28, 2015
Is Going Robo the Secret to Growing Your RIA?As Tina Powell of Beacon Wealth launches SheCapital, an automated service for women, experts discuss how, and whether, to use robo-advice to reach more clients.