New SRO for RIAs Supported by Fiduciary Committee
By Kate McBrideThe Committee for the Fiduciary Standard will support an SRO for RIAs “if Congress fails to provide sufficient funding to the SEC to continue oversight of investment advisers,” the advocacy group said Monday in a news release.
April 04, 2011
Scottrade Jumps Into ETF Fray With 15 FocusSharesThe new ETFs, based on Morningstar indexes, are available on a commission-free basis to registered investment advisors using Scottrade Advisor Services as their custodian
April 04, 2011
My Fourth Anniversary as an Independent Advisor: Lessons Learned, Next StepsFour years after going RIA, Mike Patton has no regrets. He does have some challenges, but is excited about his custodian.
March 29, 2011
Schwab Survey Finds Big Majority of IBD Reps Would Go RIASchwab’s Bernie Clark says survey findings suggests a broader wave of refugees from wirehouse and independent BD models.
March 28, 2011
United Capital Acquires Vantage PointRIA United Capital Financial Advisers announced that Vantage Point Advisors has become the newest addition to the firm’s national expansion plans.
March 28, 2011
United Capital Acquires Vantage PointRIA United Capital Financial Advisers announced that Vantage Point Advisors has become the newest addition to the firm’s national expansion plans.
March 22, 2011
Envestnet Continues Expansion With Two More High-Profile HiresJohn Fitzpatrick, ex-Fidelity, and Sean Mullen, ex-Fortigent join Envestnet in sales, SMA consulting roles.
March 21, 2011
Adviser Investments, Kobren Insight Management MergeTwo RIA firms share ‘philosophy’ and cite ‘depth’ and ‘scale’ as catalysts in forming $2 billion AUM fiduciary powerhouse.