TDAI Names Dario Managing Director of Product Management
By John SullivanIn this role, Jim Dario will lead the strategy for product development across core advisor offerings including technology, practice management and wealth management solutions, according to the company.
August 23, 2012
Custodians Offer More Trust Services to BDs and RIAsEnhancements from National Advisors, Pershing and Genworth all highlight a new custodian trend: helping advisors retain trust assets with powerful custody platforms.
August 23, 2012
SEC, FINRA, DOL Enforcement Roundup: Investing Website Exposed as $600M ScamA CEO who fed inside tips to a pro baseball player and an investment website running a $600 million Ponzi scheme were among those charged by the SEC recently.
August 23, 2012
Investment Advisor’s 2012 Broker-Dealers of the Year—David Stringer: VideoEditor-in-Chief John Sullivan talks to the president of Prospera Financial Services and Division I winner of the 2012 Broker-Dealers of the Year about personalized service and working efficiently with fewer resources.
August 22, 2012
Fee-Based Accounts Contribute to Steep Revenue Growth: StudyThe results find that fee-based advisors grew 47% over three years.
August 22, 2012
Fiduciary Rule Could Be Years Away: Industry ExpertsKnut Rostad, president of the Institute for the Fiduciary Standard, told AdvisorOne on Wednesday that regulators will most likely "continue to punt" the fiduciary issue.
August 21, 2012
Ron Rhoades’ Exit From NAPFA Shocks Fee-Based Advisor WorldIn a self-punishing mea culpa, Rhoades said he was stepping down from the NAPFA chairmanship after discovering that he had committed a violation as chief compliance officer of his firm.
August 21, 2012
Big Shift at FPA: Tuttle Steps Down, COO Schadle Steps UpAs CEO Marv Tuttles planned resignation is moved up, top deputy and FPA veteran Lauren Schadle will assume the top spot in October.