More Planner/RIA Practice Articles

Client Frugality, Risk Aversion Is the New Normal  

Mar 2, 2010 3:19 PM, By Jerry Gleeson

Registered investment advisors report that their clients are closing their wallets and watching their dimes and quarters. ...

New Rules For 401k Advice 

Mar 2, 2010 9:21 AM, By John Aidan Byrne

Lax standards among financial advisers who manage 401(k)s and IRAs are in the crosshairs of the White House, which has proposed rules that require advisors to either use independent computer models that spit out advice, or else avoid steering workers into funds to which they are tied or that pay them a fee based on their recommendation. ...

Edit letter March 2010  

Mar 1, 2010 12:00 PM, David A. Geracioti Editor-In-Chief

How Profitable Is Recruiting Really?...

Advisors’ Profit Margins Suffer in 2010  

Feb 25, 2010 1:07 PM, By Jerry Gleeson

Wealth managers will find profits more elusive in 2010, and most are reconsidering their game plans accordingly, says a survey from the Corporate Executive Board, a Washington, D.C., management consultancy. High on the board’s list of recommendations: FAs should link what they charge a client to the effort spent on the account. ...

Two Key Execs Depart Fidelity 

Jan 27, 2010 4:58 PM, By Jerry Gleeson

Charles Goldman, the president who oversaw Fidelity Investments’ services for financial advisors, will leave at the end of March, the second top manager in a week to depart from the mutual fund giant. Also exiting Fidelity is the company’s President Rodger Lawson, the number two executive under Chairman and CEO Edward “Ned,” Johnson. Lawson leaves at the end of March as well....

LPL’s New RIA Platform Rakes in Assets  

Jan 25, 2010 6:16 PM, By Halah Touryalai

LPL’s hybrid RIA platform got a strong start in its first full year in operation, and LPL says 2010 will be an even bigger year. ...

Fidelity Cedes Top “Distributor” Spot to Schwab In Client Survey 

Jan 21, 2010 5:47 PM, By Christina Mucciolo

Affluent investors rated Charles Schwab the number one “distributor” or brokerage firm, bumping Fidelity into second place, according to Cogent Research’s recently released 2010 Investor Brandscape report. ...

Wells FA Team Bolts for RIA Moneta  

Jan 8, 2010 4:13 PM, By Jerry Gleeson

More proof of the breakaway broker phenomenon, albeit anecdotal? Moneta Group has hired two veterans legacy A.G. Edwards advisors, the company said today, amid a nascent national trend of advisors leaving wirehouses for smaller independents....

Wirehouse FAs Switching B/Ds Slows 

Jan 6, 2010 12:00 PM, By Halah Touryalai

The number of wirehouse advisors switching broker/dealers has been in steep decline since June. ...

Financial Infidelity 

Aug 10, 2009 2:08 PM, By David A. Geracioti

In today’s Investor’s Business Daily, Paul Katzeff quotes a psychiatrist as saying, “Cheating with money is a form of infidelity. … It can be even more devastating than sexual infidelity.”...

Picking An RIA 

Aug 1, 2009 12:00 PM, By Mindy Diamond

Equity ownership, referrals, custom products, turnkey service offerings. These are just a few of the things to consider when choosing a firm...

Blotter 

Aug 1, 2009 12:00 PM, By John Churchill

Not Approved: The SEC charged Morgan Stanley and one of its investment advisor reps for misleading clients about the money managers being recommended...

Comings & Goings  

Aug 1, 2009 12:00 PM

What They Like About You 

Aug 1, 2009 12:00 PM, By Registered Rep. Staff

JD Power & Associates finds that the strength of the advisor relationship with clients is the biggest factor influencing client opinions of the advisor’s firm and their own portfolios...

Guess the Fine, Win a Prize 

Aug 1, 2009 12:00 PM, By Bill Singer

See if your regulatory IQ is up to snuff...

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