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My dinner with three unhappy advisers, Part 1
I had dinner in Manhattan recently with three advisers, all friends, who are now at three different firms.
Fears about SEC whistle-blower proposal unfounded
Companies are always grumbling about some rule or regulation.
Mariner buys CBIZ wealth business
The 24-employee unit will continue to work out of seven different cities
RIAs rebounding, but regulatory uncertainty looming large
Most registered investment advisers had a solid 2010 — they expanded their businesses, added clients and were even able to bump up their budgets a bit. Their feelings for the future, however, are not quite as fond.
Fidelity targeting ‘top 200’ wirehouse teams, exec says
As Fidelity continues to focus on luring breakaway brokers, a top executive at the firm noted specifically that the company is zeroing in on the very top-producing teams at wirehouses.
Death tax could still be killed
Business groups, Republicans vow to dismantle the provision, piece by piece
The Power 20
Who will be the movers and shakers affecting the financial services industry in 2011?
BAM buys 401(k) plan provider
BAM Advisor Services LLC, a turnkey asset management program, announced today that it is buying Advisors Access, a provider of 401(k) plans, from Capital Directions LLC, an advisory firm.
Cyberattacks: A clear and present danger
The technology that makes financial transactions as easy as swiping a card or tapping a few keys also…
Wall Street should go light on big-bonus plans
AS WALL STREET prepares for its annual ritual of handing out year-end bonuses, let’s hope that most —…
<b>Incite:</b> Liberal foes of tax plan threaten middle class
Scuttling the Administration's tax proposal would hit average Americans squarely in the wallet; the fate of refundables?
Obama ‘deal’ a death knell for death tax?
Republicans had much to cheer about last week, including the significant advance they made in their longstanding battle to do away with estate taxes for the ultrawealthy
Brokerages’ ‘access to advice’ argument preposterous: IN’s Cooper
Given the vague, distorted and misleading ways many of us use language these days, George Orwell is probably spinning wildly in his grave.
Death tax gets new life
Democrats may not be happy with the Administration's plan to revive the levy, but there may not be much they can do about it. Here's how things shake out right now.
Succession-planning malpractice
About two years ago, I wrote about an adviser who died without a succession plan, wreaking havoc on his clients, his business and his family.
It is time to win back investors’ trust
To say that financial advisers face an uphill battle in regaining the trust and confidence of the investing public is a serious understatement.
Failing grade?
A proposal by Finra to develop a qualifying test for investment advisers has received a cool reception from adviser groups, which claim that it is part a continuing campaign by the regulator to broaden its powers.
