Gold ETFs Lose Luster With Advisors as Fixed Income Funds Climb: Schwab
By Joyce HansonThe top 10% of RIAs by AUM have the bulk of their ETF assets in U.S. and international equity funds, at 62%, while smaller firms use U.S. fixed income ETFs 50% more.
January 05, 2012
Private Equity Firms Snapping Up IBDsThese are tough times for the independent broker-dealer space. Pacific Wests announcement in early December that it was discontinuing operations was the latest in a string of similar announcement from small to medium size firms.
January 03, 2012
LPL Financial to Acquire Alternative Investment Firm FortigentFortigent will continue to operate autonomously from its Rockville, Md., headquarters and its existing management team will remain in place, reporting directly to Robert Moore, LPL Financial's CFO.
January 03, 2012
Advisor Confidence Index Fell in December on Europe WoesThe Advisor Confidence Index, compiled by Rydex|SGI Advisor Benchmarking, fell slightly in December 2011 to close at 99.31, down from 100.33 in November.
January 02, 2012
Former SEC Exam Chief Walsh: SEC Whistleblower Program 'Showing Traction'The former chief counsel at the SEC's exam division, John Walsh, has formed a Whistleblower Response Team with several of his colleagues to help firms develop whistleblower response programs as the SECs 'initiative is beginning to show traction.'
December 22, 2011
Eight Hanukkah Wishes for AdvisorsHere are eight wishes for advisors heading into the New Year.
December 22, 2011
4 Key Areas SEC Examiners Will Scrutinize in 2012: GiachettiClient privacy, branch supervision and money manager due diligence top Tom Giachetti's compliance list. And make sure your CCO has real power and knowledge.
December 20, 2011
Top Reps Display Creativity, Concern at Curian Capital ConferenceGet a group of top advisors in a room for an hour and you have just enough time to get through one question. Thats what happened recently when Denver-based managed account provider Curian Capital invited AdvisorOne to an exclusive roundtable discussion with a sampling of the reps and broker-dealers with...