SEC Budget Boost Not Enough for Advisor Exams: Investor Advocate
By Melanie WaddellIn report to Congress, Investor Advocate Fleming also said "reverse churning" of clients in wrap fee accounts needed to be aggressively policed.
December 22, 2014
Communicating (or Not) During Tough TransitionsOne of the things that Sudden Money techniques help us do is structure meaningful conversations, said Peggy Frye, who completed Certified Financial Transitionist training in 2013.
December 22, 2014
The CFT Training ProcessCertified Financial Transitionist training offered through the Sudden Money Institute (SuddenMoney.com) consists of four parts, which can be completed together or individually
December 22, 2014
Age No Impediment to a Successful Succession PlanA 32-year age gap exists between the founder and outgoing CEO of an RIA firm and his successor.
December 22, 2014
The Future of Advice: The Bad News Looks Better Than the Good NewsApparently, 2014 was the year of over-hype for advisory industry surveys.
December 22, 2014
Looking Ahead and Managing Change: 35 Years With Investment Advisor—SlideshowThis year is the 35th anniversary of Investment Advisor.
December 19, 2014
RIA, Dually Registered Assets To Reach 28% Market Share By 2018New research from Cerulli Associates shows that independent RIAs experienced the strongest growth among the independent channels in 2013, increasing 17.1% to $1.67 trillion in total assets.
December 18, 2014
SEC Chief White Pushes Back on Advisor AuditsWhite tells Financial Services Committee that a reallocation of resources from BD coverage to advisors would not be advisable.