CE, Variable Annuity and Securities Licenses and RIAs
By Mike PattonHow I fulfilled my continuing ed requirements, and what I learned about my state VA license.
November 29, 2012
Keys to a Successful Rollup StrategyThe current economic and regulatory environment thats disproportionately affecting smaller RIA firms.
November 27, 2012
RIA Channel Grows on Back of $1B+ Firms, Cerulli Report FindsGrowth came on the heels of successful advisor recruitment into the channel, breakaway advisors creating their own independent firms and clients choosing RIAs over existing providers.
November 27, 2012
Advisors Grow Pessimistic, as Consumer Confidence Hits 4-Year HighRIAs are not as upbeat as most consumers when it comes to the economy and markets, according to the latest polls.
November 26, 2012
What’s the Difference? IMCA Defines Wealth Management vs. Financial PlanningSurvey finds "wealth manager" is far more than just a fancy label for advice.
November 20, 2012
The Case of the Aspirational AUM: SEC Says RIA Inflated AUM TenfoldA New York-based firm inflated its AUM to qualify for SEC registrationliterally moving decimals on a spreadsheetwhile a San Francisco-based firm dithered for 18 months in delivering mutual fund records to the SEC.
November 20, 2012
Why Cost Disclosure Might Actually Work for Clients and AdvisorsKnut Rostad may well have hit upon one of the few instances when full disclosure could prove to be a tremendous benefit to clients.
November 16, 2012
SEC Keeps Up Blistering Pace of Enforcements Against Advisors, BDs in 2012The SEC filed 147 enforcement actions against advisor and investment companies in 2012, one more than last years record number, and the number of actions this year against BDs jumped significantly.