Never Satisfied
By John SullivanIndustrial age publisher and philanthropist Frederick Bonfils said there is no hope for the satisfied man. If thats the case, Karl Frank is full of hope.
October 31, 2011
Remember, Advisors, Revenue Is a Byproduct of High-Quality Service and AdviceAct ethically, tell the truthand be competentand your reputation among your clients will grow your practice.
October 28, 2011
Wirehouses to Lose 8% in Market Share, Average AUM Up 10%: CerulliCerulli reports that wirehouse broker-dealers had 43% of industry assets in 2010, an estimated 40% today and an expected 35% by 2013 representing an 8% decline.
October 28, 2011
Top Portfolio Products: Guggenheim Fund Sees IPO; TD Ameritrade Launches Options PlatformNew products introduced over the last week include Guggenheim's Equal Weight Enhanced Equity Income Fund and a new options platform from TD Ameritrade.
October 27, 2011
NAPFA Hosts Student Scholarship Winners at Brooklyn ConferenceNAPFA welcomed a group of 10 Alfred State student scholarship winners this week at its Practice Management & Investments Conference in New York City.
October 27, 2011
Pershing Augments Trust NetworkPershing LLC, a BNY Mellon company, announced Wednesday that it has enhanced its Trust Network with the additions of Comerica Bank & Trust and New York Private Trust Co. Trust Network is the open-architecture platform that enables Pershings introducing broker-dealer and independent RIA customers to offer their clients a wide...
October 27, 2011
Forget Advisor SRO; Use External Auditors for Exams, Academic Study UrgesA Georgetown business school professor offers another option in lieu of an SRO for advisors: outsourcing routine advisor exams to external third parties, such as accounting and consulting firms.
October 27, 2011
TD Ameritrade Launches Options Market Center for AdvisorsUsing thinkorswim as the platform's basis, the program led by TD's Jeff Chiappetta includes education, validation and trading.