RIA Growth Inevitable as Brokers Go Indie: S&P Capital IQ
By Joyce HansonBrokers move to independence is one of the fastest growing trends in wealth management, and RIAs are poised for more growth, S&P Capital IQ says.
August 30, 2013
SEC Charges San Diego Advisor With Cherry-Picking, Soft Dollar SchemeThe SEC charged a firm and its president with steering winning trades to favored clients and misusing soft dollars.
August 30, 2013
To Justify the Value of Financial Planning to Clients, Consider SaliencyIf you want to be more valued (and compensated) for the financial planning work you perform on clients' behalf, including the 'shadow work,' you'd best understand how saliency works.
August 29, 2013
Moving to a New BD or Custodian? Ask These 5 Tech Questions FirstCaptive technology can trip up an advisor, despite the attractive bells and whistles of your new BD or custodians platform.
August 29, 2013
Disaster Recovery Plans Part of Fiduciary Duty, SEC SaysThe SEC is alerting advisors that its part of their fiduciary responsibility to ensure they have proper business continuity and disaster recovery plans in place.
August 28, 2013
Top Advisor Blasts RIAs, Brokers in New BookIf youre reading this and you get pissed, youre probably guilty of being a bad advisor, Steve Lockshin says.
August 28, 2013
What’s ‘Fee Only’? CFP Board and NAPFA DivergeIs 2% ownership of a BD really so "insubstantial"? The CFP Board and NAPFA take different tacks on issue flowing from the Alan Goldfarb case.
August 22, 2013
10 Ways to Connect With Clients Using Your iPadPershing CIO Ram Nagappan shares his favorite ways to use an iPad to make presentations anytime, anywhere.