More Advisor Exams? Not Under This SEC Budget, Advocates Say
By Melanie WaddellCFP Board, CFA and others say the SEC's pledge to examine more advisors will be tough to fulfill with only a $29 million increase.
January 09, 2014
Survey Reveals Why the Ranks of RIAs Are GrowingAdvisorBenchmarking study also suggests why brokers are behind the curve on the leading-edge marketing techniques and low-cost indexed investment vehicles.
January 02, 2014
Advisor M&As to Make Comeback in ’14: TiburonWhile deals in the RIA space slowed dramatically in 2013, many factors are driving a turnaround this year.
December 31, 2013
Is the Profession Really Concerned With Rebuilding Investor Trust?A broader discussion of the trust imperative for the advisory professionand the appropriate subsequent concrete actionsis needed, and advisors need to lead the way.
December 23, 2013
Why This Is a Good Time to Be an Advisor, of Any AgeThis is our annual Careers supplement, and in the pages that follow we deliver what I humbly believe are a number of articles that you will find useful in planning and executing a more successful career.
December 23, 2013
SEC Is Cracking Down on Proprietary TradingAs fiduciaries, registered investment advisors must always put their clients interests ahead of their own.
December 23, 2013
Ken Fisher Warns, Industry Responds: What Happens to RIAs in 10 Years?Ken Fisher is bullish on 2014s market and economy but decidedly bearish on the future of RIAs.
December 18, 2013
Much of 2013’s Important News Arose From What Didn’t HappenOne of the big things that failed to happen this year was a fiduciary standard imposed on brokers by either the SEC or the DOL.