Who's looking out for us? Part three
By Richard HoeBroker-dealer partners are necessary and good, but why is all the power on one side of the equation?
August 05, 2013
A Smaller RIA Has a ‘Duty to Refer’On the Road to Independence, even a smaller RIA firm can provide a full range of services when you partner with other professionals.
August 01, 2013
UBS Adds Morgan Stanley Advisor, but Loses Team to Boutique FirmA group of Wells Fargo reps with about $220 million in assets departs to go independent with an LPL affiliate.
July 31, 2013
CFP’s Goldfarb Case Illustrates Need for Clear Compliance LinesThe first part of our post explained the details of the case. Well now turn to a discussion of what needs to happen from here.
July 31, 2013
LPL Sees 14% Jump in Q2 Profits, Topping EstimatesThe independent broker-dealer, led by Mark Casady, also had a 67% increase in assets on its hybrid platform for advisors with their own RIAs.
July 30, 2013
BrightScope Defends a Business Model Modeled After MorningstarBrightScope's methods irritate some, but others see a chance to clean up some of the industry's problems.
July 29, 2013
Michael Kitces Launches Recruiting Screening Tool for Financial PlannersNew Planner Recruiting announced it has launched a standalone service to offer screening of financial planning candidates for advisory practices.
July 26, 2013
CFP Board Announces Rich Rojeck as 2014 Chair-ElectRojeck, a managing director with Sagemark Consulting/Lincoln Financial Advisors, says the investing public will "ultimately best be served by an established financial planning profession."