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Latest In The Planner/RIA Practice

Raymond James Financial and Wells Fargo Retail Brokerage Units Hang In There  

By Christina Mucciolo

Raymond James and Wells Fargo Advisors report decent results in a tough environment. ...

For 401k Advisors, Comp Models Must Change 

By Michael Stillman

New regulation under ERISA section 408(b)(2) is expected to be released in the fall of 2010 and take effect in 2011. One key consequence of these regulations is level pricing for financial advisers (FAs) who provide services to 401(k) plans. ...

Compensation 2010. Crisis? What Crisis? 

By David A. Geracioti

Though 2009 comp was way off from 2008, on average, financial advisors' compensation has, for the most part, returned to pre-crash levels. Expectations are high for a resumption of growth for 2010....

America's Top 100 Financial Planner RIAs 

This year's list represents top independent registered investment advisories that primarily do retail fee-only financial planning, as ranked by assets....

Clients, Though Mostly Satisfied, in the Dark about FA Fees, Says Study  

By Christina Mucciolo

“Most brokers want to do right by their client, but there is a difference between doing right by their client and acting in their best interest.” ...

The New Sheriffs In Town 

By Halah Touryalai

Under reform legislation, RIAs with less than $100 million in assets will no longer be regulated by the SEC. State regulators will step in. Will states be more successful than the SEC?...

Life Insurance, An Alternative to a Roth Conversion? 

By Rich Behrendt, senior estate planner, and Blake Panosh, Insurance and Annuity Managers, Robert W. Baird & Co.

There is an alternative planning opportunity for clients who are intrigued by the benefit of tax-free growth of a Roth conversion, but who ultimately reject the strategy because of the income tax liability triggered on the full IRA balance at conversion: using the required minimum distributions on a traditional IRA to purchase life insurance. ...

The Ultra Wealthy Have A Gloomy Outlook, Keeping A Careful Eye on Their Portfolios  

By Halah Touryalai

The financial crisis left some serious emotional scarring on the ultra rich. In fact, they trust the government less since the downturn, and believe the U.S. and global economies will continue to deteriorate, according to a recent Barclays Wealth survey....

RIA M&A Pops  

By Halah Touryalai

Mergers and acquisitions might be crawling back to the top of RIA principals' to-do lists this year as the first quarter's numbers show record activity....

Stifel Eyeing a Tech IPO Rebound? Buys Banker Thomas Weisel Partners  

By Christina Mucciolo

Today Stifel Financial Corp., the St.Louis-based financial services holding company, said it is buying Thomas Weisel Partners Group, a San Francisco-based investment bank, in a deal valued at more than $300 million....

RIA M&A Deals Break Record in First Quarter  

By Halah Touryalai

Mergers and acquisitions seem to be crawling back to the top of RIA principals’ to-do lists this year, as the first quarter’s numbers show record activity. What is your financial advisory practice worth?...

Don’t panic. Health-care Tax Impact Years Off  

By Jerry Gleeson

Your clients may fear a huge tax bite after President Obama signed historic health care legislation into law this week....

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In This Issue: September 2010

Cover Story

Outgrowing The Series 7

When the 7 becomes more of a burden than a benefit.



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