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Investment Advisor October 2007 Kara P. Stapleton |
Slight Growth in RIAs The universe of registered investment advisors grew only slightly during the past year.  |
Investment Advisor November 2009 James J. Green |
Numerology: Fewer Assets, More Advisors Total assets managed by investment advisors shrank in 2008 but the number of SEC-registered investment advisors increased.  |
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 February 2008 Angela Herbers |
Barring the Door How to stop training your (future) competition.  |
Investment Advisor July 2009 |
Group Think Association news: MD Preferred Service Network, an online physician resource center, is working with NAPFA to launch the MD Preferred Financial Advisor Network... Investment Adviser Association has announced a new slate of officers for the coming year... more...  |
Financial Planning September 1, 2008 Bob Veres |
The Price of Going Pro Some financial advisors today believe that by striving to create a profession, they may actually be aiming too low.  |
Investment Advisor April 2006 Melanie Waddell |
Catch Up How financial advisors can meet the challenge of keeping pace with their clients' retirement needs in a changing world.  |
Registered Rep. April 11, 2014 Diana Britton |
Is the CFP Board Losing Credibility in the Eyes of Advisors? WealthManagement.com surveyed 321 CFP holders and found that one-third believe the recent scandals detract from the perceived value of the designation.  |
Registered Rep. June 1, 2004 Allen Plummer |
Over the Top There's one big problem with being on top, and the organization that administers the Certified Financial Planner designation is in the process of learning all about it.  |
Investment Advisor October 2005 Kathleen M. McBride |
Privileged Membership Professional associations can give financial advisors a very good idea of how well they are doing compared to their peers -- and often provide practice management guidance about how to make improvements that could yield a material difference to their bottom line.  |
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.  |
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 April 2008 David Drucker |
Why Aren't We There Yet? When asked about financial planning as a profession, most advisors get introspective with observations like, "I don't know if our industry is a profession yet, but I know I'm a professional." When will financial become a true profession?  |
Financial Advisor June 2011 Bruce W. Fraser |
Rebuilding Trust -- Part 1 Though Bernard Madoff was carted off to jail, he still casts a long shadow over the financial advisory community and advisor/client relationships.  |
Financial Planning October 2, 2007 Jack W. Callahan |
Embrace Change Advisors have to adapt their practices to accommodate retiring clients.  |
Entrepreneur June 2009 Asheesh Advani |
Put Your Advisory Board to Work It's time to rethink the roll of advisors and how they are compensated.  |
Investment Advisor January 1, 2011 Melanie Waddell |
FINRA Jockeys for SRO Spot as SEC Report to Congress Nears The Financial Industry Regulatory Authority is engaged in a full-court press to convince the SEC that it should be the SRO for advisors.  |
The Motley Fool October 30, 2006 Dan Caplinger |
Avoid the Boiler Room Some financial advisors know more about sales than they do about investing. Finding good financial advice is tough. Investors with little or no knowledge about their finances are extremely vulnerable to disreputable professionals.  |
Registered Rep. August 19, 2009 Christina Mucciolo |
Haggling Over The F Word Continues Regulators, consumer advocates and politicians continue to hammer out what it might mean for Series 65 investment advisors and series 7 registered reps to adhere to the new fiduciary standard.  |
Investment Advisor March 2008 Angela Herbers |
Words of Wisdom Keeping older professionals in the industry should be a priority. And if we don't do something to rectify this situation sooner rather than later, we face the prospect of watching the experience of a whole generation literally walk out the door.  |
Investment Advisor September 2007 Melanie Waddell |
Hedge Funds Continue to Deregister During the past year, 732 hedge fund advisors have deregistered, according to the Investment Adviser Association and National Regulatory Services seventh annual report, Evolution/Revolution, which profiles the advisor profession.  |
Financial Planning August 1, 2007 Marshall Eckblad |
Advisor Pulse If a new survey is to be believed, advisors who help their clients with retirement planning -- and that's most of you -- will soon face a difficult choice: Change the way you service clients or watch your profits shrink.  |
Financial Advisor December 2011 |
Frontline News Investors Can Change Irrational Behavior... Tax Changes for 2012... The Certified Financial Planner Board of Standards launched a four-year, $36 million public awareness marketing campaign... more...  |
Registered Rep. March 9, 2007 Christina Mucciolo |
What's In a Name? If You Are a Fiduciary, a Lot. But Are CFP Certificants Fiduciaries? Financial planners who hold the Certified Financial Planning designation have been tussling with the CFP Board, which controls the CFP designation, over the designation's ethical standards.  |
Investment Advisor December 2006 Bob Clark |
Hope It Wasn't Something I Said The CFP Board's chance to rethink its role in the financial planning profession.  |
Investment Advisor January 2010 Bob Clark |
Clark at Large: The Riddle of the CFP Board Have you ever wondered what those folks at the Certified Financial Planning Board are thinking?  |
Financial Advisor April 1, 2010 |
Frontline News Advisor news: Is Your Client's Private Info Secure?... Hybrid Brokerages Shine Light On New Space... CFP Aspirants Need A Plan... Wanted: Silver Bullet For Retirement Income... more...  |
Financial Advisor November 2007 |
Frontline News CFP Board Picks New Chief Of Exams And Education... Are Regulators Losing Their Mojo?... Gingrich, Ford: Save New York City... Staffing -- Not Clients or Revenues -- Is Advisors' Big Challenge... etc.  |
Investment Advisor January 2009 Kara P. Stapleton |
Group Think News from the CFP and FPA.  |
Registered Rep. May 31, 2007 |
CFP Board Approves Tighter Code of Ethics The CFP Board approved a second round of revisions to its code of ethics, essentially strengthening the duty of care CFP certificants must use with regards to their clients.  |
Financial Planning January 1, 2011 Donna Mitchell |
Spreading the News After being educated about the requirements for a CFP and the approach these planners take in offering financial advice, consumers say they are more likely to seek out a CFP for help with managing their money.  |
Registered Rep. April 23, 2014 David Armstrong |
Editor's Letter: May 2014 The CFP Board's refusal to recognize problems doesn't bode well for the future of an organization that continues to play a vital role.  |
Financial Advisor July 2007 Richard B. Wagner |
Now What? With FPA's win in its lawsuit against the SEC, financial advisors need to reflect on what that means for the profession.  |
Investment Advisor February 2009 Angela Herbers |
Advisor, Heal Thyself Good advice to advisors these days is that they revise their own financial plans.  |
Financial Planning February 1, 2005 Ed McCarthy |
The Next Generation of Advisers (and the Problem with Uncovering Them) There's still no tried-and-true path for those entering the financial planning profession.  |
Investment Advisor January 2006 Melanie Waddell |
Retirement Plan Advisor: The Income Conundrum To address retirees' income issue head on, financial services executives have joined up to launch a new trade group, the Retirement Income Industry Association (RIIA).  |
Investment Advisor March 2010 Melanie Waddell |
Cover Story: Custom Job All signs point to 2010 as the year in which many substantive retirement planning reforms will either be cemented or set into motion by Congress and the Obama Administration.  |
Registered Rep. December 1, 2006 John Churchill |
Of Two Minds An internecine argument at the FPA gets to the heart of one of the industry's more vexing problems: Should brokers be able to position themselves as financial planners?  |
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.  |
Financial Planning May 1, 2013 Charles R. Chaffin |
Making the Case for CFP Standards While the planning profession has evolved considerably, there is still work to be done.  |
Registered Rep. October 23, 2006 John Churchill |
Opulence (and a Wee Bit of Strife) at FPA Confab in Nashville Education and networking were on order at the recent annual Financial Planning Association conference.  |
Financial Advisor July 2004 Gail Liberman |
Muni Bond Funds Vs. Individual Bonds A new study says the funds are cheaper if you actively trade.  |
Investment Advisor June 1, 2011 Thomas D. Giachetti |
From Deadlines to Lifelines The SEC extension of registration deadlines provides a potential grace period for stressed out advisors.  |
Investment Advisor January 1, 2011 Thomas D. Giachetti |
Keeping Political Contributions Compliant A new rule on political contributions by investment advisors may make donations dangerous.  |
Investment Advisor September 2009 Lewis Schiff |
The Affluentialist: Building Retirement Portfolios Now Few advisors use a cookie cutter approach to retirement income support.  |
The Motley Fool November 27, 2006 Dan Caplinger |
Financial Planning Ethics With the increasing complexity of the financial world, it's increasingly important to find professionals you can trust. By choosing a financial planner who is governed by strict ethical principles and guidelines, you can feel more confident that you will get the advice and assistance you deserve.  |
Investment Advisor April 2010 Melanie Waddell |
Washington Watch: The Shape of Reform Begins to Sharpen Dodd's bill calls for SEC study, not a fiduciary standard; advisors await final markup.  |
Investment Advisor August 2006 |
Retirement Planning: News & Products Retirement Income Industry Association (RIIA) launched a retirement income planning educational program for advisors... Co-op America Business Network members get a diverse 401(k) platform of socially responsible investment funds... etc.  |
Financial Planning May 1, 2008 Andrew Ackerman |
Muni EMMA The Municipal Securities Rulemaking Board launched a pilot version of EMMA, a free, centralized online portal that will eventually provide investors with real-time disclosure and price information on municipal securities.  |
Investment Advisor July 2008 |
Group Think The CFP Board has filed a comment letter with the SEC welcoming the Commission's proposal to improve the quality of information that investment advisors must provide to clients and prospective clients.  |