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Registered Rep.
October 13, 2010
Charles Paikert |
SEC Family Office Ruling Set to Open Doors for RIAs to Gather Assets RIAs can benefit from family offices' inclination to gravitate to smaller, boutique firms, as opposed to working with impersonal financial behemoths.   |
Registered Rep.
February 29, 2012
Charles Paikert |
Ruling Hits Family Offices on Cost, Disclosure Family offices received an unpleasant and unexpected surprise earlier this month -- they are now going to have to register their commodity and futures trades. It will be an onerous, and potentially costly, process, many say. |
Financial Advisor
June 2011
Mary Rowland |
Keeping Family Trust New Hampshire leads the way among states using generous new laws to compete for family trust business. |
Registered Rep.
October 27, 2010
Charles Paikert |
Multi-family Offices Riding High; Single-family Offices Recovering But Nervous Multi-family offices have enjoyed strong growth over the past couple of years, while single-family offices are seeing some improvement, but are nervous about new regulation, according to two new surveys. |
Investment Advisor
April 1, 2011
Thomas D. Giachetti |
Dodd-Frank: An Overview Of Pending Changes For Investment Advisors Dodd-Frank deadlines are fast approaching. Are you ready? |
Investment Advisor
April 11, 2011
Melanie Waddell |
SEC to Meet Dodd-Frank's July Deadline on 'Switch,' Private Fund, Venture Fund Advisors While final rules will be out by July 21, SEC will give advisors more time to comply |
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. |
Registered Rep.
September 1, 2004
Grove & Prince |
Onward, Downward The new family-office model has a very different motive: profit, as opposed to privilege. |
Investment Advisor
August 2006
Melanie Waddell |
The Playing Field: Will the SEC Appeal? Hedge fund advisor registration has been an extremely contentious issue. Some feel there will be grave consequences for the SEC and the investing public should the House bill requiring registration be shot down. |
Financial Advisor
October 2004
Grove & Prince |
Family Offices: Assets And Motivations As advisors and financial services firms vie to add the most affluent clients to their roster, the family office is at the top of the list when it comes to assets and opportunity. |
Investment Advisor
February 2007
Thomas D. Giachetti |
When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management. |
Registered Rep.
September 12, 2011
Charles Paikert |
More Than Half of Single-Family Offices Outsource Investment Function Investment firms, consultants, wealth boutiques, multi-family offices and even private banks could all gain assets as this trend toward outsourcing escalates. |
Financial Advisor
November 2004
Grove & Prince |
Family Offices: Assets And Motivations Because a growing number of families want to get into or open a family office, there's never been a greater need to understand the way that family offices function, what they want and how they get it. A survey spotlights some surprising preferences and motivations. |
Registered Rep.
November 12, 2010
Charles Paikert |
Single-Family Offices Ready To Make Changes: IPI Survey Four out of ten single-family offices expect to make "material changes" to the way they manage their business over the next 12 to 18 months, according to a new survey from the Institute for Private Investors. |
Investment Advisor
November 17, 2010
Thomas D. Giachetti |
Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors |
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. |
Registered Rep.
August 13, 2015 |
Four Tips for Working with Single Family Offices Here are four tips to explore to help you better understand and build a trusted advisor relationship with family offices. |
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
September 2006
Jeff Joseph |
Hedge Fund Focus: RIAs Turning to Alternatives A more hands-on approach to investments is being taken by registered investment advisors, including the use of alternative products, according to a new survey. |
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. |
Registered Rep.
May 1, 2004
Grove & Prince |
E Pluribus Unum As advisors set their sights ever higher, one of the most sought-after types of client is the family office, with advisor notions of the ideal falling just this side of Bill Gates or Warren Buffett. |
Investment Advisor
August 2010
Melanie Waddell |
Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision. |
Registered Rep.
March 30, 2007
John Churchill |
Surprise! FPA Wins Lawsuit Against SEC and the Broker-Dealer Exemption Three years after suing the SEC over the controversial "Broker Dealer Exemption" rule, a federal court has ruled that the SEC exceeded its authority in adopting the rule. |
Financial Advisor
January 2005
Grove & Prince |
The Future Of The Family Office Several new business models are fueling the growth of these firms: information drawn from the authors' latest book, Inside the Family Office: Managing the Fortunes of the Exceptionally Wealthy. |
On Wall Street
April 1, 2013
Kenneth Corbin |
SEC Zeros In on Potential Conflicts of Interest The regulator's staff will investigate nondisclosures, misrepresentations, and more. |
Financial Planning
February 1, 2010
John J. Bowen Jr. |
Moving Upmarket Thinking about upgrading to a family office? Here are five things you should know about the ultra-affluent market. |
Registered Rep.
August 1, 2006 |
The Broker-Dealer Exemption: Good or Bad for the Investing Public? (Oy, This Still Hasn't Been Resolved?) True financial advisors -- those who hold Series 65s and Series 66s, and who are fiduciaries -- aren't too happy that Series 7-holders have been able to cast themselves as financial advisors. |
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. |
Investment Advisor
May 1, 2011
Melanie Waddell, AdvisorOne |
Fair Play: The Fight Over Rule 206(4)-5 Advisors are confused -- and angry -- over the SEC's new pay-to-play rule |
Financial Planning
October 1, 2010
Brian Hamburger |
Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive. |
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.
June 14, 2011
Charles Paikert |
Seller's Market for Family Office Executives, but with Caveats Single-family offices are peculiar places, and prospective employees need to know what they're getting into. |
Financial Advisor
November 2006
Robert Casey |
Multiplication Multifamily financial advisory offices report double-digit growth, with smaller organizations leading the way. |
Financial Advisor
December 2004
Grove & Prince |
Looking For Leaders Finding the right executive director for the family office: information drawn from the authors' latest book, Inside the Family Office: Managing the Fortunes of the Exceptionally Wealthy. |
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. |
Investment Advisor
May 2010
David Tittsworth |
What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association. |
Registered Rep.
November 1, 2004
Shaw Grove & Alan Prince |
Because They Can With more advisors chasing high-net-worth clients, family offices have officially entered "buyer's market" territory, which is bad news for those who dislike tending to the nonfinancial demands of ultrawealthy clients. |
Registered Rep.
February 1, 2006
Russ Alan Prince |
Rep's Honor Here is how wealth management readily translates into additional assets under management for financial advisers and what they can do reach this target market. |
Registered Rep.
June 29, 2010
Halah Touryalai |
The New Sheriffs In Town The SEC examines about 9 percent of the 11,000 or so advisory firms under its jurisdiction annually. All of that is about to change with a little help from regulators at the state level. |
Registered Rep.
March 1, 2005
Grove & Prince |
In Name Only Financial advisors who fancy themselves "wealth managers" are having trouble walking the talk. |
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
July 2011
Andrew Gluck |
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance. |
Investment Advisor
October 2005
Melanie Waddell |
The Playing Field: Welcome to the Family Becoming a wealth manager is not quite as easy as it looks. But the mid-tier millionaires are underserved, so honing skills and capturing some of them as clients should be on every financial adviser's list. |
Registered Rep.
January 8, 2010
Halah Touryalai |
A Hedge Fund Resurgence There is legislation in Congress that would require hedge funds to make greater disclosures about the details of their operations. The increased regulation coupled with a recent uptick in hedge fund performance will likely entice some advisors to put their clients back into hedge funds. |
Registered Rep.
December 2, 2004
John Churchill |
SEC Overburdening Itself? The SEC narrowly succeeded in passing a final rule requiring hedge fund advisors to register under the Investment Adviser Act of 1940. But is the agency biting off more than it can chew? |
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. |
Registered Rep.
November 16, 2012
Jerry Gleeson |
Tardy Advisors Get a Reprieve Mid-sized RIAs who are behind on switching their registration from federal to state jurisdictions now have until Dec. 17 to get caught up. |
Registered Rep.
July 24, 2007
John Churchill |
SEC to RIAs: Welcome In keeping with regulators trying to be more proactive and less reactive, the SEC is cozying up to newly registered investment advisers. |
Registered Rep.
March 7, 2011
Charles Paikert |
ABA Conference: Wealth Managers Grappling With Dodd-Frank Act The impact that the new Bureau of Consumer Financial Protection will have on bankers is still uncertain. |
Investment Advisor
March 2007
Melanie Waddell |
States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority. |
