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Bam! President kicks it up a notch, goes after muni tax break
White House seeks to limit interest income that can be sheltered; states, cities already lining up against proposal
Raymond James to ramp up custody unit
Raymond James executives are taking steps to boost the profile of the firm's small custody unit, and they are hinting at bigger things to come
Think your millionaire clients aren’t e-media savvy? Think again
Financial advisers who think their millionaire clients would prefer sit-down meetings instead of e-mails or text messages may need to do a rethink.
Talk with Chuck produces intriguing responses
Ten questions, ten answers from the iconic founder of the discount brokerage
United Capital to acquire $600M Peak Capital
United Capital Financial Advisers will acquire the assets of Peak Capital Investment Services – an advisory firm with $600 million in assets under management – executives revealed at the Schwab Impact Conference here in San Francisco today.
Vigilant compliance must be grounded by ethics
The following is an edited version of an Oct. 17 speech by Carlo V. di Florio, director of the Securities and Exchange Commission's Office of Compliance Inspections and Examinations, at the annual meeting of the National Society of Compliance Professionals in Baltimore
Fiduciary standard is an RIA’s best friend
Every time the debate over the fiduciary standard of client care hits the news, RIAs pick up a few more clients
Financial planning registers worldwide growth
Financial planning is growing as a profession around the world, according to an organization that sets standards for its practitioners.
A bipartisan jobs plan is the top priority
It is time our elected leaders and presidential wannabes treat America's jobs crisis as the social and economic catastrophe that it is, and not just as fodder for 2012 campaigns
Top RIAs on the wealth business: What lies ahead
Evercore Wealth Management's Charles Ryan talks about his firm's recent growth an expansion -- and what lies ahead for the rest of 2011 and 2012. For more INTV with top RIAs, click here.
Personal Capital ventures into online-advice arena
With Americans practically addicted to the Internet, a web-based investment advisory business would seem to be an idea whose time has come
Big in Boston: Colony expands with Mintz Levin merger
Combined firms will have nearly $2.5B in assets under management
Study will recommend that accountants examine advisers
White paper by Georgetown professor will broaden — and stir up — discussion, TD Ameritrade's Bradley predicts
Firms seeking recruits offer a pathway to partnership
After cutting back on hiring in the wake of the 2008 downturn, advisory firms are seeking fresh talent — partly to jump-start growth, which has slowed in the past year, and partly as a form of succession planning
Breakaway brokers fill custodians’ pipelines
Market turmoil usually slows job hopping by brokers and financial advisers, but RIA custody firms say that their pipelines are as full as ever — and they don't expect a slowdown soon
<b>INcite:</b> Want to create jobs? First cut capital gains taxes
Along with jobs, raising taxes on the rich is one of things the Wall Street protesters feel strongly about, as Andrew Cuomo, the Democratic governor of New York, is learning all too well.
Revenue for average RIA firm hits all-time high in 2010
AUMs, number of clients also up; firms doing more with less
RIA 3Q M&A activity strong, Pershing report shows
Big firms were in play, private-equity firms were active; next two years could see 'frenetic activity'
Don’t ignore the Wall Street protesters
It’s easy to dismiss the Occupy Wall Street movement as a gathering of misguided, hopelessly idealistic brats who…
Advisers not using social media are missing out on clients: survey
Financial advisers who aren’t social networking are losing potential customers, especially among the affluent, according to a survey…
