With 600 RIA Participants Already, Schwab Expands Practice Management Program
By James J. GreenThe free Insight to Action consulting program leads advisors to devise a personalized strategic plan, SAS Vice President Nick Georgis says.
August 08, 2012
Regulatory Compliance Adds Partner ProgramRegulatory Compliance has introduced a service intended to streamline service offerings for clients in a clear, logical manner so that they can stay on top of regulatory deadlines and filings.
August 07, 2012
Genworth Launches Trust Business for Indie AdvisorsAdvisors worried about losing client assets to corporate trustees seek relationships with firms who will support their primary relationship with clients, says Genworths Brad Wheeler.
August 07, 2012
Savvy Advisors Are Turning to ETFsThe latest AdvisorBenchmaking report found that 54% of advisors are likely to increase their use of ETFs in the near future.
August 03, 2012
Tibergien on Advisor M&A Trends: Expect More DealsCommenting on findings of Pershing Real Deals report on advisor M&A, Pershing Advisor Solutions CEO sees a re-emergence of strategic buyers and suggests the RIA business may evolve to resemble the accounting industry.
August 02, 2012
LPL Grabs Russo’s Advantage Financial, $2 Billion in Assets From NPCRusso described the move of 63 advisors to LPL from NPC as a process that Advantage Financial undertook as it created a philosophy reflecting the strong currents that are sweeping through the industry.
August 02, 2012
SEC, FINRA Enforcement Roundup: Bristol-Myers Squibb Exec ChargedThere was an international flavor to some of the recent actions taken by the SEC and FINRA, including freezing $38 million in assets in an international insider trading case and charges involving a Chinese reverse merger company.
August 02, 2012
Why Isn’t the SEC Doing Its Real Job?Two readers identify the real problem with the SEC: it focuses on compliance with the letter of the law, rather than trying to catch the bad guys.