Dodd-Frank and Advisors: Where Things Stand on an SRO for Advisors
By Bob ClarkThe devil is in the details on implementing Dodd-Frank, as seen in the debate over an SRO for advisors.
July 18, 2011
Q2 Earnings: Schwab's Net Income Meets Estimates on ‘Soft’ TradingNet new assets in advisory accounts up year over year but down from previous quarter.
July 13, 2011
Hightower Moves Into Virginia With Morgan Stanley Breakaway TeamVWG Wealth Management, a Virginia-based breakaway RIA team from Morgan Stanley, joined Hightower, led by RIA powerhouse Elliot Weissbluth, over the weekend.
July 12, 2011
A Fiduciary Standard: The Next Big (Marketing) Thing?If brokers can call themselves fiduciaries without actually being so, having a 'fiduciary duty' may become the next powerful marketing tool.
July 12, 2011
Fidelity Launches iPhone and Android Mobile Trading App for RIAsWealthCentral apps gives RIA users the ability to trade on mobile devices with high security, says Ed O'Brien, technology head at Fidelity's Institutional Wealth Services.
July 05, 2011
RIAs’ Revenue, Assets Rebounded Last Year: Schwab Benchmarking StudyIndependent RIAs ended 2010 with record revenue and assets, according the Charles Schwab 2011 RIA Benchmarking Study
July 01, 2011
If You Want Something Done RightIt’s beginning to look like the only way Dodd-Frank reregulation is going to turn out well is if RIAs form their own SRO, such as Mercer Bullard's SROIIA.
June 27, 2011
Building Clients Portfolio Now: Products and Models for Four PortfoliosAs my practice has grown, I’ve built a process for where I’ll invest my clients’ accounts.