NAPFA Chair-Elect Ron Rhoades Steps Down Due to Compliance Error
By Joyce HansonNAPFA Chair-Elect Ron Rhoades said late Monday that he is stepping down from his appointment.
August 17, 2012
Olivia Mitchell, Kent Smetters, Others Reveal Holes in Retirement AdviceSurveys show millions of people want to discuss retirement with a professional advisor. But a forthcoming book edited by Olivia Mitchell and Kent Smetters points to barriers to advice in the retirement marketplace.
August 17, 2012
Experts’ Top Pearls of Wisdom on Practice ManagementThis summer four practice management experts tackled the Herculean task of defining practice management for advisors and addressed the findings of the first Pursuing Practice Excellence study. Here are some of the participants best insights.
August 17, 2012
Friedman’s 3 Realistic Steps to Succession PlanningSure, you know all the reasons for having a succession plan in place, but you still havent done it. Try following these three steps to get you moving.
August 16, 2012
What Planners Can Expect From CFP Board's New Sanction GuidelinesSuggestions received during the public comment period on the Board's guidelines resulted in increases to some proposed penalties; forgery, fraud and breach of fiduciary duty all saw suggested penalties raised to a suspension of a year and a day.
August 16, 2012
All For One and One For All: What RIA Roll-Ups Can Teach All AdvisorsCall them what you willconsolidators, holding firms or roll-upsbut these acquirers are showing the way by consolidating operations and achieving greater transparency.
August 14, 2012
Romney or Obama? LPL and FSI Polls DisagreeAs the presidential race heats up with Mitt Romneys choice of Paul Ryan as his running mate, polls from FSI and LPL have reached vastly different conclusions about who will win.
August 10, 2012
NASCAR-Related Index Fund Shut Down After SEC ScrutinyThe SEC's Asset Management Unit charged David Dube and his firm, Peak Wealth Opportunities, on Friday with failing to provide examiners with records of a mutual fund advisory business that invested in NASCAR-related stocks.