LPL Makes New RIA, Hybrid-FA Push
By Janet LevauxLPL Financial says it plans to introduce an integrated advisor solution platform, supporting independent Registered Investment Advisors (or RIAs) as well as hybrid ( or dually registered ) financial
May 01, 2008
Watch ListOver the past five years, the focus has shifted for the independent advice community, a shift that has been reflected in the IA 25, our...
April 19, 2008
Freedom Without Ethics = DisasterI went to see the new movie Ben Stein co-wrote, entitled "Expelled.. What does this have to do with my journey to independence, you ask?...
April 01, 2008
Getting a Handle on 408(b)(2)The Department of Labor's (DOL) newly proposed 408(b)(2) regulation, which mandates disclosures of compensation and conflicts of interest by plan service providers will, when finalized,...
March 25, 2008
The Taste of IndependenceAs I approach my first anniversary of independence I think back and consider the ups and downs I've experienced. For those of you in a...
March 07, 2008
Ending a Three-Year Settlement SagaFidelity Investments has agreed to pay an $8 million penalty for accepting over $1.6 million in gifts and entertainment paid for by outside brokers.
March 05, 2008
A Good Year, Fourth Quarter for FidelityOn February 11, 2008, Fidelity Investments released its fourth quarter 2007 and record full-year brokerage results. Total brokerage client assets reached a high of $1.99 trillion in the fourth quarter, a 17% increase from one year ago.