Much of 2013’s Important News Arose From What Didn’t Happen
By Bob ClarkOne of the big things that failed to happen this year was a fiduciary standard imposed on brokers by either the SEC or the DOL.
December 03, 2013
Bucking the trend, RIA channel enjoys strong growthThe RIA channels expansion is attributed to, among other factors, a rise in the number of break-away brokers."
December 03, 2013
Bucking the trend, RIA channel enjoys strong growthThe RIA channels expansion is attributed to, among other factors, a rise in the number of break-away brokers."
November 27, 2013
Why Ken Fisher Is Wrong About Future of RIAsIndependent RIAs offer the one thing that Wall Street cant: independence to represent their clients and only their clients.
November 26, 2013
Ken Fisher Is Right About Demise of RIAs...and WrongWe can only hope that Mr. Fishers vision does not occur. Yet I foresee that fee-only and other true fiduciary advisors will still exist.
November 26, 2013
Time to Review Your Privacy Policy, RIAs, and Check Yourself OutIn part two of our year-end compliance review, reminders to update your privacy policy and accurately monitor your AUM. Don't forget about your clients.
November 21, 2013
Get Ready for Your Annual ReviewAs the weather turns colder, turn up your focus on compliance requirements and your Form ADV.
November 21, 2013
Ken Fisher Warns: RIA World Gone in 10 YearsThe famed value investor talked to ThinkAdvisor on how BDs will "eat RIAs as dessert," and why the economy is doing fine, for a spell.