April 25, 2014
RIAs: When and Why to Make Form ADV UpdatesThe triggers for other-than-annual amendments to your Form ADVs are many and varied. Best to follow Confucius' advice on the subject.
April 24, 2014
Fiduciary Danger Lurks in Vanguard, Fidelity and T. Rowe TDFs, Book WarnsNew book by Ron Surz and others warns against following the crowd with funds that over-allocate to equities, putting millions of Americans retirement at risk.
April 23, 2014
Two Reasons Why a New Wave of Breakaway Brokers Is On the WaySenior wirehouse advisors ready to start the next phase of their lives can use the RIA model as a pathway.
April 23, 2014
Raymond James Reports Big Jump in Private-Client Profits: Q1 EarningsOverall, the company's earnings miss estimates, but beat on sales of $1.2 billion
April 23, 2014
Cybersecurity Enforcement Actions May Have ‘Significant’ Fines: SutherlandAn SEC crackdown on cybersecurity is coming, law firm Sutherland Asbill & Brennan predicts, and the penalties could be steep.
April 22, 2014
Mariner Wealth Buys New Jersey RIA With $817M in AUMCEO Marty Bicknell doesnt mind the term rollup firm, but he says there's a difference between Mariner and other firms that acquire RIAs.
April 17, 2014
SEC Launches Cybersecurity Exams of BDs, AdvisorsThe SEC says it has launched cybersecurity-related exams of more than 50 registered broker-dealers and RIAs.