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Registered Rep. June 30, 2014 Diana Britton |
The Engineer Craig Stuvland formed his company to "fan the flame of independence" in the financial services space.  |
Registered Rep. February 7, 2012 Diana Britton |
Are Regulations Killing the Hybrid Financial Advisor? Some advisors say new compliance and regulatory burdens under Dodd-Frank are making the hybrid model untenable.  |
Registered Rep. December 16, 2011 Jerry Gleeson |
Compliance Outsourcing Gains Favor With RIAs Charles Schwab's RIA Benchmarking Study this year reports that 38 percent of firms were outsourcing their compliance functions, up from 27 percent in 2010.  |
Registered Rep. November 1, 2006 Susan Konig |
A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules.  |
Registered Rep. February 1, 2005 Pam Black |
Why More Reps Are Getting Their Kicks on Route 66 What's driving top reps to Series 66 RIA designation is not regulatory rules. It's changes in the wirehouse environment that, newly minted RIAs say, made it harder for them to do their own thing.  |
Registered Rep. July 8, 2015 Jerry Gleeson |
The New Sheriffs In 2012, more than 2,000 RIA firms who had only known the regulatory scrutiny of the Securities and Exchange Commission were transitioned over to the Wild West of state securities regulators.  |
Financial Advisor July 2009 Sherri Scordo |
Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors.  |
Financial Advisor September 2005 Bruce W. Fraser |
How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.  |
Investment Advisor March 2006 Melanie Waddell |
The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.  |
Registered Rep. December 1, 2006 Anne Field |
The Metamorphosis If you are ready to go out on your own as a registered investment advisor, you're likely to encounter a host of tricky problems and stumbling blocks. Here's a look at five of those problems and what you can do about them.  |
Investment Advisor September 2008 Philip Palaveev |
B/D or RIA? How to Decide for Yourself To help make the decision between the registered independent advisor and broker/dealer approach, first ask yourself where you belong.  |
Financial Advisor November 2010 David Lawrence |
Back In The Fold? Will the new regulations force independents to return to broker-dealers?  |
Financial Planning March 1, 2013 Kenneth Corbin |
SEC Registration Deadline Looms As annual registration nears, compliance experts warn RIAs to be cautious about their numbers.  |
Registered Rep. March 14, 2012 Jerry Gleeson |
The Long Goodbye This year, about 3,200 mid-sized RIAs will say goodbye to the Securities and Exchange Commission, transferring their registration to the states where they do business.  |
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.  |
Investment Advisor August 2008 Thomas D. Giachetti |
The Three Troubling Themes How to combat compliance misunderstanding and misdirection.  |
Investment Advisor June 2006 Melanie Waddell |
The Playing Field: Masters at the Helm Former SEC chairman Arthur Levitt and past NASD and Nasdaq Stock Market chairman and CEO Frank Zarb have joined a consulting firm's heavy hitters.  |
Investment Advisor July 2009 Melanie Waddell |
Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures.  |
Registered Rep. March 1, 2006 Kristen French |
The Best of Both Worlds Advisors say the broker/dealer-RIA hybrid model gives them freedom to choose what products, services and fees are best for their clients.  |
Financial Planning October 1, 2010 Bob Veres |
What's Next for Planners When we cast our gaze forward at the changes taking place in the financial planning profession, a lot of new variables creep into the formula: the rapid evolution of technology, demographic and societal changes, plus wild cards like the recent Great Recession and financial reform legislation.  |
Registered Rep. October 19, 2011 Diana Britton |
Registered Rep/Wealth Management.com Research: Indies, Insurers Take Lead on Social Media RIAs, independent broker/dealers and insurance companies are taking the lead in social media usage, ahead of wirehouses, regional firms and bank brokerages.  |
Registered Rep. July 12, 2010 Christina Mucciolo |
The Rise of the Super OSJ It's a great time to be a Super OSJ -- the extra large offices of supervisory jurisdiction, or independent b/d branches that both supervise and provide consulting and business services to other independent advisors for a fee.  |
Registered Rep. August 8, 2011 Jerry Gleeson |
Schwab: Franchisees Can't Poach RIA Clients Advisors who are considering Charles Schwab's new independent branch program are being told they will have to abide by the company's contact policy.  |
Financial Planning April 1, 2012 Bob Veres |
21st Century Regulation What is the best way to regulate fiduciary RIAs? How best can we identify and weed out bad apples and better protect consumers in the process?  |
Registered Rep. February 1, 2006 Kristen French |
Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so.  |
Financial Planning January 1, 2012 Donna Mitchell |
Who's Afraid of Social Media? Social media compliance is a subject that elicits a range of reactions from planners, from groans to cautious, curious questions.  |
Investment Advisor August 2005 Mark Tibergien |
Formulas for Success: Independence Day There is a growing trend toward registered reps moving out of the wirehouse environment -- a trend invisible to most, but obvious to the country's leading custodians: they are actively wooing breakaway brokers.  |
Registered Rep. July 8, 2015 Jerry Gleeson |
No Slowing RIA Growth In the financial advisory industry there are potential regulatory burdens, fickle investors, and crafty competitors -- but nothing has changed the relentless march of the registered investment advisor space since the 2008 crash.  |
Investment Advisor June 2009 Thomas D. Giachetti |
Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures.  |
Investment Advisor May 2010 James J. Green |
Simple, Not Simplistic Tom Giachetti preaches a simple approach to compliance for advisors: Know what you need to do, but also what you don't need to do.  |
Investment Advisor August 2010 Melanie Waddell |
Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas.  |
Financial Advisor January 2006 Tracey Longo |
Working Smarter, Not Harder As more independent broker-dealers set themselves up as strategic outsourcing partners, they are finding bigger and better firms driven to their door by stagnant or shrinking profit margins and the accelerating compliance melee.  |
Financial Advisor March 2005 Tracey Longo |
The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients.  |
Investment Advisor June 2006 Bob Clark |
Clark at Large: Reality Check A good exercise is to periodically examine the things we know to be true and explore why we think so. Here's a list of possible misconceptions financial advisors hold to be true: Client portfolios need international exposure... It doesn't matter what the other advisors do... etc.  |
Investment Advisor May 2008 Melanie Waddell |
Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.  |
Registered Rep. April 7, 2011 Kristen French |
Switching To Independent Model Keeps Up Pace Migration to the independent financial advisor model -- independent b/ds and RIAs -- is likely to continue unabated in 2011.  |
Registered Rep. March 1, 2008 John Churchill |
Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated.  |
On Wall Street September 1, 2011 Nick Georgis |
Taking The Hybrid Road As more advisors transition to independence these days, a growing number of them are choosing to adopt a hybrid business model that lets them conduct both commission-based brokerage business and fee-based advisory business. For many advisors, the hybrid road may offer the best of both worlds.  |
Investment Advisor March 2006 Melanie Waddell |
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.  |
Financial Advisor December 2010 |
Frontline News RIAs Transferred To States May Get Dual Exams... Piqued By Peak Oil... The Art Of The Referral... etc.  |
Financial Planning September 1, 2006 Jane Worthington |
Accounting for Compliance Instead of viewing compliance as a necessary evil, financial advisors should see it as a cost of doing business and learn how to quantify that cost.  |
Financial Planning July 1, 2011 Donna Mitchell |
Tweet Away It's been a struggle to get advisors to embrace social media because they don't fully recognize its business value.  |
Investment Advisor September 2008 Bob Clark |
Who's Your Daddy? Philip Palaveev's new gig as president of Fusion Advisor Network foreshadows the future of independent advice.  |
Registered Rep. September 16, 2011 Jerry Gleeson |
RIA Interest in Financial Planning Grows, Industry Data Suggests Financial planning activities are playing a growing role in the service offerings of registered investment advisors.  |
Financial Planning September 1, 2012 Bob Veres |
Why Doesn't the RIA Community Come Up With Better Proposals? Instead of fighting against bad proposals, shouldn't the RIA community be proposing better alternatives? We assume that the goal of the Dodd-Frank Act is to tighten up lax RIA regulation.  |
Investment Advisor June 2010 Angela Herbers |
The Fast Track: American Standard Comp tables based on surveys of advisory firms won't help you find the right salary range for your firm if those firms are over- or underpaying.  |
Investment Advisor May 2006 |
Making the Future Happen The 25 most influential people in and around the investment advisory profession: Ron Roge... Dick Averitt... Tony Batman... Ben Bernanke... etc.  |
Financial Advisor March 2006 |
Frontline News AST Trust Purchases Capital Trust Co. Of Delaware... Intuit Poised To Release PortfolioMinder... Financial Advisor Plans Top RIA Ranking... Morningstar Workstation Available At TD Ameritrade... Rule Is `First Step'... etc.  |
Financial Planning September 1, 2008 Callahan & Malo |
Hybrid Chic A trend toward hybrids in the financial services industry is emerging. Increasingly, firms, advisors and brokers are establishing practices that manage both commission -- and fee-based businesses.  |
Investment Advisor December 2009 James J. Green |
Catching Up With...Gary Gallagher A chat with LPL's executive VP strategic programs and support services.  |