FINRA Alternative: SROIIA Surveying RIA Firms
By Kate McBrideFledgling SRO for RIAs adds officers, announces progress.
April 18, 2011
New SRO for RIAs Supported by Fiduciary CommitteeThe 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 15, 2011
2011 Q1 Earnings: Schwab Earns $0.20 per Share on 23% Jump in RevenueCharles Schwab reported that net income in the first quarter of 2011 was $243 million, or $0.20 in EPS, slightly beating analysts’ earnings consensus.
April 05, 2011
CFP Board to Unveil $36 Million Branding Campaign at April 14 WebinarIn an effort to raise awareness about the Certified Financial Planner certification and what it means to the general public, the CFP Board of Standards is introducing a $36 million branding campaign at an April 14 webinar.
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.