Surprise! HNW Women Want Investment Performance From Their Advisors
By James J. GreenWhat do wealthy women really want in an advisor? Solid performance, not just a financial plan, a Schwab study found.
June 28, 2012
SEC Enforcement Roundup: $100M Real Estate Ponzi Scheme BustedRecent SEC actions include shutting down two Ponzi schemes, one that brought in $100 million and another that collected $42 million. A Malaysian advisor was sued for not advising.
June 28, 2012
D-Day Has Arrived for the ‘Switch’ From Federal to State RegistrationThursday marked the deadline for advisors with assets of between $25 million and $100 million under management to switch from federal to state jurisdiction.
June 28, 2012
Advisors’ Work Begins With Supreme Court’s Ruling on Health LawRIAs who own small businesses, and the stock markets, can now begin digesting the reality of the PPACA.
June 27, 2012
Gentlemen’s Agreement: RIAs and Reps Agree on More Than Some Would Have Us BelieveI feel compelled to put in my two cents on a comment made about fi360/AdvisorOnes 2012 Fiduciary Survey.
June 26, 2012
The Big Question: How Can Junior Advisors Buy Out Firm Owners?I cant overemphasize the importance of a long enough time horizon.
June 26, 2012
RIAs, Anticipating Growth, Plan to Add Staff This YearWith their client rosters and assets growing, independent RIAs are staffing up, and many are adding women to their employee ranks, according to a survey released Tuesday by TD Ameritrade Institutional.
June 25, 2012
FINRA’s Selman: No Political Appetite for User Fee ApproachThe passage of legislation to allow the SEC to collect user fees to fund advisor exams in the current political environment is very unlikely, a FINRA official said Monday.