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Financial Planning January 5, 2008 Elizabeth O'Brien |
The New Fiduciaries LPL and Fiduciary360 educate advisors on retirement consulting in the Pension Protection Act of 2006 era.  |
Financial Advisor September 2012 Jeff Schlegel |
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds.  |
Financial Advisor March 2012 Juliette Fairley |
More 401(k) Avenues Demand is increasing for advisors who can help companies with their retirement plans.  |
Financial Advisor August 2008 |
Frontline News News for the financial industry: Alliance Creates New Retirement Option... Direxion Launches Two New Funds... Genworth Launches IRA Variable Annuity... Paperless Account Opening Offered... Jefferson National Expands VA Offerings... Vanguard Introduces New Index Fund...  |
Investment Advisor December 2007 |
Upgrades LPL Financial Services has partnered with Fiduciary360... Kochis Fitz of San Francisco and Quintile Wealth Management of Los Angeles say they will merge... etc.  |
Registered Rep. March 16, 2012 Kristen French |
Wire Houses Minting Fiduciary Advisors -- Or Are They? None of the firms will go on record as to whom specifically in the rank and file is adopting the standard, nor will they provide much detail on what that training looks like.  |
Financial Advisor November 2011 Jerilyn Klein Bier |
Best-Laid Plans Advisors who've built substantial 401(k) practices share their strategies.  |
Financial Planning June 1, 2008 Elizabeth O'Brien |
Set Me Free LPL Financial staked a bigger claim on the independent advisor market last month with the announcement that the broker-dealer will allow its advisors to do business under their own RIA.  |
On Wall Street September 1, 2012 Elizabeth Wine |
Financial Advisors Turn to the 401(k) Market for More Business Advisors look to 401(k) plans as fertile ground for business.  |
Financial Advisor October 2008 |
Advisor Emporium The latest news from six well known names in the investment management and advisory industry.  |
Financial Advisor March 2008 Joel Bruckenstein |
Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers.  |
Registered Rep. February 7, 2011 Jerry Gleeson |
LPL Financial Posts Growth in Assets, Advisors LPL Investment Holdings reported higher revenue and adjusted profit numbers for the fourth quarter, as the acquisition of an advisor network in 2010 boosted assets and advisors at the firm.  |
Financial Advisor July 2006 |
Advisor Emporium The Potomac Funds Changes "Direxion"... Fidelity Launches Value International Fund... Vanguard Offers New Retirement Funds... Support Platform For SMAs Introduced... etc.  |
Financial Advisor April 2007 |
Advisor Emporium NPC Launches ETF-Based 401(k) Program... MG Advisory Launches IMA Platform... Vanguard Launches International Fund... etc.  |
On Wall Street November 1, 2010 Gallant & Schneider |
Navigating The Retirement Business The demand for retirement income support will continue to grow rapidly in the coming years as the aging of the baby boom generation is inevitable.  |
Financial Advisor June 2011 |
Advisor Emporium Stories from our June 2011 Advisor Emporium: Russell Program Judges Business Health... Paychex Acquires New Company... RBS Launches Exchange-Traded Notes... more...  |
Registered Rep. July 14, 2010 Halah Touryalai |
LPL Acquires Retirement Broker/Dealer LPL continues its growth streak with the acquisition of assets from National Retirement Partners, a California based broker/dealer.  |
Registered Rep. April 1, 2007 |
Confronting the F Word Experts suggest that reps who ultimately become fiduciaries will require additional training. Simply holding various series licenses is probably not going to cut it. There are now more options than just a few years ago.  |
Financial Planning November 1, 2010 Trone & Harvey |
The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require.  |
On Wall Street January 1, 2011 Steve Garmhausen |
DOL: Advice Rules To Get Tougher The Department of Labor is poised to toughen rules for consultants and advisors that serve retirement plans, as past industry practices have fallen under new scrutiny.  |
Financial Advisor June 2010 Simonoff & Rasmussen |
Tall Task Building an in-house business consulting group, Derek Bruton is trying to help advisors at LPL adapt to the Darwinian business climate.  |
Financial Advisor November 2008 |
Frontline News News for the Financial Industry: Tumult Could Expand Ranks Of RIAs... M&A Activity Remains Healthy... Independent B-Ds: Don't Tread On Us... Who Has The Most Satisfied Advisors?... The Business Of Serving Business Owners... etc.  |
Financial Advisor October 2010 |
Advisor Emporium Vanguard Launches Long-Term Retirement Fund... Jefferson National Offers DFA Funds... EGShares Offers India ETF... FaithShares Creates SMA Portfolios... etc.  |
Financial Planning September 1, 2006 David Spinar |
Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers.  |
Financial Advisor July 2007 |
Advisor Emporium Pershing Launches Managed Account Network... John Hancock Adds Allocation Options... Matrix Buys Interest In Research Firm... etc.  |
Registered Rep. May 14, 2015 Megan Leonhardt |
LPL Incentivizes Hybrid RIAs to Bring Assets Over LPL Financial is offering its hybrid advisors up to $100,000 to shift their assets held elsewhere to LPL's advisory platforms, according to an internal communication sent to advisors Wednesday.  |
Financial Planning March 1, 2007 Elizabeth O'Brien |
Clearly, Competition LPL's clearing deal with AXA Advisors prompts questions about recruitment among independent broker-dealers.  |
Financial Advisor July 2004 Tracey Longo |
Clearing Firms Come Courting With clearing industry players so clearly targeting advisors, competition for advisor business is likely to get even more interesting very soon.  |
Financial Advisor July 2005 |
Frontline News Advisors Who Market Their Business Do Better, Study Finds... New Pershing Unit To Work With RIAs... FPA Members Strongly Favor Social Security Reform... Economy Tops Terror As Chief Fear Of Affluent, Survey Says... etc.  |
Financial Advisor January 2007 |
Advisor Emporium Pershing Launches NetExchange Investor Platform... CurrencyShares ETFs Garner $1 Billion... Fundamentally Weighted Mutual Funds Introduced... New Index Families Hunting Alpha... etc.  |
Financial Advisor February 2, 2009 Sherri Scordo |
Advisor Emporium Pershing assists advisors going independent... New advisors receive technology assistance... FPA offers best practices tools... Direxion enters ETF market... Foliodynamix joins communications gateway... Scottrade adds portfolio director...  |
Financial Advisor August 2010 Raymond Fazzi |
Looking To Streamline Now that they've experienced the harsh consequences of poor business management, fee-based advisors are looking to their custodians and broker-dealers for all the help they can get.  |
Financial Advisor August 2012 Karen DeMasters |
The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers.  |
Financial Advisor May 2006 Tracey Longo |
What Have You Done For Me Lately? The race is on among independent broker-dealers to recruit more top fee-based advisors.  |
Financial Advisor May 2008 Marla Brill |
Under Pressure Financial advisors who provide services to businesses with 401(k) plans governed by the Employee Retirement Income Security Act have a new reason to review fiduciary practices and double-check professional liability insurance.  |
Financial Advisor July 2008 |
Advisor Emporium Fidelity offers dual business platform... Symetra offers guaranteed retirement income... Pershing launches trust network... Arrow offers DWA tactical fund... KBS opens REIT investment... New generation of Laserfiche available...  |
Financial Advisor December 2007 Sydney LeBlanc |
More Options, More Business Independent advisors recently got the opportunity of a lifetime -- the marriage made between fee-based advisory accounts and fiduciary accountability finally made headlines in the SEC repeal of Rule 202.  |
Registered Rep. October 26, 2010 Jerry Gleeson |
Net Assets Rise at LPL, TD Ameritrade Trading revenue (excluding asset-based fees and advisory assets), however, was less impressive, with LPL posting modest gains and TDA seeing big declines. (Not surprising, given the overall market conditions.)  |
Investment Advisor June 2006 Kathleen M. McBride |
Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways.  |
Financial Advisor December 2005 |
Advisor Emporium Impact Technologies Launches Retirement Planning System... Vanguard Standardizes Fund Minimum Requirements... Life Settlement Tool Introduced... Goldman Sachs Launches Fund... Three New Funds In Jefferson National's Monument Advisor... etc.  |
Financial Advisor June 2007 Raymond Fazzi |
Follow The Money Broker-dealers sum up the future of advisory services in two words: rich folks.  |
Financial Advisor July 2004 Tracey Longo |
Can Prudent Practices Save Your Business? A new booklet outlines the steps fiduciaries should follow. Ignore the book at your own peril: It's already been used decisively in two lawsuits against advisors.  |
On Wall Street June 1, 2013 |
Fiduciary Standard Debate Heats Up As federal regulators move ahead with a pair of rulemaking proceedings that could dramatically reshape the financial advisory industry, advocates of broader fiduciary responsibilities are urging advisors to make their voices heard in Washington.  |
Financial Planning July 1, 2007 |
New Products Alternatives: State Street Global Advisors has launched five fixed-income SPDR ETFs... Unit investment trust based on the KLD Global Climate Change 100 Index... etc.  |
Registered Rep. February 10, 2012 Mark Miller |
New Focus on Small Workplace Retirement Plans Means Lower Fees, Opportunity for RIAs The spoils of the 401(k) market have always gone to the large players -- big retirement plan providers providing the best, most efficient plans to big plan sponsors. But small is starting to look beautiful.  |
Financial Advisor November 2005 Tracey Longo |
All For Advisors Brokerage executives are doing their best to deliver the tools advisors need to move their business to the next level, while still remaining efficient. That includes streamlined technology, investment and rebalancing selections, outsourcing, practice management and business development assistance.  |
On Wall Street April 1, 2010 Trone & Harvey |
Are The Retirement Waters Now Murkier? A 40-page document of new regulations from the Department of Labor sets out to ease the challenges of offering investment advice to retirement plan participants and to lessen any conflicts of interest.  |
Investment Advisor March 1, 2011 Kathleen Mcbride |
SEC and the Fiduciary Study: The Process Why the fiduciary standard became such a hot topic for regulators  |
Financial Advisor June 2012 |
LPL Financial Launches Rollover Program LPL Financial is launching a new platform to help advisors increase their retirement business by serving more individuals rolling over their 401(k) plans.  |
Financial Advisor March 2012 Donald B. Trone |
Defining 'Fiduciary' In Three Dimensions It means different things to different advisors, depending on their registered status, experience and background. What is clear is the need to continue to build consensus around what the term means to the industry.  |