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<font color=red>FPA Convention</font> CFP certificants: We’re happy with our career choice
Survey also finds planners mostly serve 'mass affluent'; fewer women are certificants, however
<font color=red>FPA Convention </i></font>CFP Board big bashes adviser SRO
Mohrman-Gillis wants SEC to oversee investment advisers; Finra 'not experienced' in upholding fiduciary standards
There are conflicts inherent in assets-under-management pricing
Fee-only financial advisers have long held themselves out as being more ethical than commissioned stockbrokers. Fee-only advisers claim to adhere to a fiduciary standard that requires them to act in the best interests of their clients, meaning that they must set aside their personal interests and fully disclose all their fees and any conflicts of interest
Options trading like ‘crack cocaine for brokerages,’ say critics
With stock trading down, the major online brokerage firms continue to ramp up their options-trading capabilities. While futures generate sizable commissions, critics worry that the use of greater leverage could leave less-sophisticated investors wondering where their money went.
Valuations up as RIA deals near record
United Capital Financial Advisers LLC's purchase of Peak Capital Investment Services LLC last week is a sign of the times
More advisers pushing clients toward direct 529 college savings plans
Assets held in Section 529 college savings plans that are sold directly to consumers are accumulating faster than for those plans sold through financial advisers — and experts say advisers are the reason why.
Moody’s: Ameriprise, Lincoln have strong VA hedging programs
Ameriprise Financial Inc. and Lincoln National Corp. have strong VA hedging programs, Moody's Investors Service said in a report on the most frequently asked questions about variable annuities
Bigger RIA deals in first half of year, but prices soft compared to early "08
RIA client assets that changed hands through acquisitions soared in the first half this year, but valuations of the firms are still below the 2008 peak
Deal fever hit RIA biz in 2010
Close to 110 mergers and acquisitions completed; M&A discussions 'back on the front burner'
Schwab reports $16B in new custody assets, meets 3Q numbers
Charles Schwab Corp., the largest independent brokerage by client assets, reported third-quarter profit that met projections after it settled claims about misleading investors and revenue from trading declined.
<b>Special report:</b> Exiting your practice
It's a good time to sell a financial advisory business, especially if the owners have spent the past decade planning their exit.
$2.5B Greystone adviser jumps to HighTower
Voted top financial adviser in Arizona in 2009, Pupillo leaves MSSB fold
RIA clients rattled by mercurial markets
Market volatility and risk have overtaken wealth accumulation as the top concern of RIA clients, according to a…
California backs off on tough provisions in proposed law for independent contractors
A bill in California bill that would punish firms for misclassifying employees as independent contractors was amended to lighten the compliance burden for broker-dealers.
What do most RIAs <i>really</i> want? Growth
Along with the thousands of advisers under one roof here at the Schwab Impact conference in San Francisco, there are also thousands of opinions on issues ranging from economics to politics.
Broker-hiring protocol seeing more dropouts
The brokerage industry's recruitment protocol, which is credited with reducing litigation when advisers change firms, might be becoming a victim of its own success
GOP now talking taxes, but Dems say they’re talking through their hats
Republicans OK with axing tax deductions for the rich, but marginal tax rates still a bone of contention
Focus Financial in the zone – does yet another deal
Sapient makes it No. 8 on the year, boosting firm's AUM to $45B; 'suffocating' at the wirehouse
What the Kansas City incident should teach Finra
Let's hope that Finra has learned a lesson from the public flogging it received after it was reported that a regional official allegedly doctored the minutes of internal staff meetings that were then turned over to SEC examiners
Putnam stocks up on retail-mutual-fund wholesalers
Has hired six new external wholesalers, bringing its roster to 54, and it expects to have 60 by the end of the year.
