Firm Reaps Huge Growth Fulfilling Advisors’ To-Do Lists
By Gil WeinreichWe connect the dots between what the advisor knows he needs to do and what he has time to do, says Robert Fross of Platinum Advisor Strategies.
October 09, 2013
SEC Puts Fund Directors in SpotlightThe SEC enforcement division will put a heightened focus on fund boards approval of advisor fees, the co-director of the division said Wednesday.
October 08, 2013
A Techie Who Cares: Meet Trust Co.’s New LeaderWith energy befitting a Silicon Valley startup, Trust Company of America may just be what the industry needs.
October 08, 2013
‘Big Switch’ RIAs Now Regulated by States Exhibit Similar Deficiencies on Exams: NASAAA NASAA report on advisors who switched from SEC to state oversight shows deficiencies similar to smaller RIAs who had been regulated by the states.
October 07, 2013
Genworth Taps Industry Veteran Charles Goldman for Board of DirectorsAs Genworth Financial moves ahead in a partnership with two private equity firms, Goldman, known as a fiduciary advocate, takes the reins as board chairman.
October 07, 2013
$540 Million Gupta Team Leaves UBS for Independent SpaceSan Diego-based Gupta will now custody primarily with Schwab Advisor Services.
October 07, 2013
15 Key Health Care Act Provisions That Begin in 2014The Patient Protection and Affordable Care Act was signed by President Obama on March 23, 2010, but 2014 is the year when most core pieces of PPACA will be activated, effecting many of your clients' health care planning.
October 04, 2013
SEC Investor Committee Issues Fiduciary PlanThe Investor Advisory Committee hopes that "we can help to shape the form that commission rulemaking takes," says Barbara Roper.