Registered Investment Advisers (RIA)
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Chuck Schwab: Pioneer, innovator, procrastinator
When Charles R. Schwab started his own firm in the 1970s, he and other discount brokers opened up the markets to regular folks, giving them the chance to make colossal investing mistakes just like Wall Street's fancier clientele. Of course, Charles Schwab Corp. (SCHW) also made it easier for lucky
Brightscope opens platform, allowing advisers to make changes for free
After complaints, the consumer-facing website reverses course by letting advisers claim and maintain their profile at no charge.
The new rules of adviser compensation
Tibergien, Palaveev, Pomering Reveal Benchmarking Best Practices at InvestmentNews/Moss Adams Event
Traits of the Valued Advisor
Success in today's advice market generally demands a deep understanding of the end investor and dealing with a markedly different generation with distinct risk tolerances and technology needs.
Bogle: Apply fiduciary duty to anyone 'touching other people's money'
Vanguard founder calls on the SEC and DOL to 'put the principle first and the carve-out second.'
Tommy Belesis still faces Finra fraud complaint
The storied chief executive of the now-defunct Wall Street brokerage John Thomas Financial Inc. continues to face an open Financial Industry Regulatory Authority Inc. fraud complaint that he bullied brokers, lied to senior staff and intimidated colleagues in his pursuit of penny stock riches.
Nobel laureate: Everyone should have a financial adviser
Nobel Prize-winning economist Robert Shiller said a lack of good financial advice was one of the problems that led to the financial crisis.
Why Joe Duran hates the word 'roll-up'
There's a lot of talk about advisers' needing to find a transition plan, and many options are presented to them, including selling to a bank, junior advisers, a peer or the ubiquitous “roll-up.” But there are fundamental questions that must be asked.
Do your clients really need long-term care insurance?
Plus: Hedge funds load up on GM stock, Greenspan call Bitcoin a bubble, JPMorgan confirms cardholders were hacked, and Briton get bullish
LPL CEO Mark Casady's Twitter photo proves he's ducking the razor
To benefit an animal-rescue charity effort that LPL is undertaking, LPL's usually clean-cut CEO Mark Casady is growing a beard. This week, he posted a Photoshopped “Duck Dynasty”-style beard on Twitter.
Why wirehouse advisers should become an RIA
Bill Schwartz, an independent adviser who broke away from Merrill Lynch, says he understands why advisers stayed at wirehouses five or 10 years ago. But today, the game has changed.
Do your clients suffer from fee blindness?
Most clients have no idea how much their investments and their financial advisers are costing them. As a result, they may unknowingly be putting their retirement at risk.
Self-employed clients still need to save
Business owners often save less for retirement; advisers can help them diversify beyond the store.
Transition essentials for advisers changing broker-dealers
While there's a perception that transitioning to independence commences and concludes in one fell swoop, in reality it unfolds in three distinct phases over a multiyear period.
A new way for advisers to attract clients?
The AdviceIQ site features profiles and rankings of about 2,600 financial advisers from 27 broker-dealer firms, detailing their assets under management, client characteristics, mission and contact information.
- Facebook's five-star ratings: The end of business pages for advisers?
- Pimco's El-Erian to step in to shore up $3B multi-asset fund
- Rebound in gold suits big guns Paulson, Soros
- New 3.8% surtax means new tax strategies for business owners
- Mountain of money in nontraded REITs continues to hold Wall Street's attention
Explore your opportunities and be informed for your next move.
Blaine Aikin CEO, fi360
Timothy Welsh, CFP President and Founder, Nexus Strategy, LLC
Justin Wisz Co-Founder & CEO, Vestorly