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  • Commonwealth Financial Network Announces New Advisor Affiliation Models: You Can Be A Fee-Only RIA And Leverage The BD's Services

  • AARP Joins Fiduciary Debate Alongside CFP Board, Financial Planning Association, And Other Consumer And Professonal Associations To Oppose Broker/Dealers And SIFMA

  • Advisors React to FINRA’s New Suitability Rule; Problems Likely For Dually Registered Advisors

  • All Modes Of Advisor Compensation Scrutinized More Skeptically In the Consumer Press

  • An Advisor Affiliated With Retirement Income Industry Association And Its Retirement Management Analyst Designation Responds To My Post Saying Designation Proliferation Is A Disaster For Consumers

  • Another Player In The RIA Database Business: Uzurp Registered Investment Advisor Database Tops 37,000 Firms

  • Bachus Backtracks After Democrats Introduce Bill Saying SEC Should Regulate RIAs; A Surprising Turn Of Events But Debate Will Likely Drag Into 2013

  • Bill To Make FINRA The SRO For RIAs Reintroduced, Sparking Protest In Some Quarters And Approval In Others

  • BrightScope And Spaulding Group Propose Universal Performance Standard For Financial Advisors

  • BrightScope Announces New York City's Top 25 Registered Investment Advisor Firms By Assets Under Management

  • BrightScope Ranks Top 25 Philadelphia Area Registered Investment Advisor Firms By Assets Under Management

  • Consolidation In The RIA Business Could Increase Competition For Smaller Firms

  • Consolidation In The RIA Space Continues As Deals Get Bigger

  • Do Negative Online Comments About Investment Advisors Signal A Shakeout Is On The Way?

  • Does CFP Board’s Suggested Disclosure For Form ADV Mislead Consumers About Whether Their Advisor Is A Fiduciary?

  • Does The Revelation Of Fees Paid To Advisors From Schwab And Fidelity Taint The Perception That RIAs, As Fiduciaries, Are Above Conflicts?

  • Erado, An Advisor Products Compliance Partner, Named To Gartner’s “Cool Vendor” List

  • FinFolio: A Portfolio Management Software Targeted To RIAs With $200 Million AUM And Up

  • FINRA Requests Comment On Ways To Increase Investor Use Of BrokerCheck: My Suggestion Is To Consolidate Advisor Licensing Databases And Open It To Search Engines

  • FINRA's Estimate Of Cost Of Establishing And Maintaining An SRO For RIAs Challenged By Coalition Representing RIAs

  • For Advisors, Business Success Requires Recognizing An Opportunity, Seizing The Moment, And Taking A Risk; An Introduction Of Lisa Gray To A4A Readers

  • For CFPs To Be Regarded And Regulated As Professionals, Financial Planning Coalition Must Build Bridges, Not Walls; CFP Alignment With CFAs, CPAs, CPWAs Is In Consumers’ Best Interest

  • From Roshomon to Rosebud: I'll Tell You My Story About Building A $500 Million AUM RIA; Please Tell Us Your Story

  • GenSpring, Largest RIA In The Nation, Replaces Its CEO

  • GenSpring, The Nation's Largest RIA In Private Wealth Management, Suffers Key Defections Of Advisors In Phoenix And Denver, Sources Say

  • Give States Oversight And Examination Authority Over RIAs Managing $1 Billion Or Less To Solve The RIA Regulatory Mess

  • Guest Post: Robert Powell On The Spokesman For The Fiduciary Movement Who Is Now Accused Of Diverting Retirement Plan Assets To His Own Personal Accounts

  • Guest Post: Yodlee Is Offering Free Account Aggregation With An Investor Dashboard For Controlling Advisor Access; Another Sign Of Fee-Compression Coming

  • Here's How To Make Your RIA GIPS Compliant And Reap A Marketing Windfall To Grow Your Practice

  • How RIAemail’s Automatic Email Encryption Works

  • Is Tom Bradley's Promotion To Run Retail Distribution At TD Ameritrade Good For RIAs?

  • It's Not A Merger; It's Not A Buy-Out; It's A Partnership For Growth

  • Massachusetts Calls On SEC To Prohibit RIAs From Using Mandatory Arbitration Clauses, Saying It Is "Troubling," Widespread And Not Consistent With Fiduciary Practice

  • More Details On The Implosion Of The Phoenix Office Of GenSpring, The Nation’s Largest Private Wealth RIA

  • No, I'm Not Inciting Fear; Fee Compression Exists And The Reaction To Yesterday’s Webinar Proves Advisors Want Help Addressing It

  • Performance Reports Closely Scrutinized By SEC In Barring Investment Advisor Representative; A Lesson To Principals On Disclosing Reasons For Terminating Employees

  • Phoenix, The Wild West Of Private Wealth Management; Founder Of A Phoenix RIA Bought By GenSpring In 2007 Resurfaces As A Likely Competitor

  • Price of Investment Advisor Research By Fritz Meyer Slashed By 50%

  • Reuters Says "Smart Money" Is Placing Bets On RIA Buyouts; Good News For RIAs But It's Risky Business

  • RIA Groups Release Study Saying FINRA Oversight Would Cost Twice As Much As Enhancing The SEC's Exam Program Of RIAs

  • RIA Growth Factors Highlighted At TD Ameritrade Conference

  • RIAs Are More Optimistic And Less Worried About Reducing Operating Expenses

  • RIAs Don’t Seem To Care Very Much About The Regulatory Debate; Reaction To Last Week’s FINRA-SRO News Was Muted

  • Schwab Advisor Services Integration With Salesforce Moves Into Production Next Month

  • Schwab's Apology For Mistakenly Prospecting RIA Clients Is Like Deja Vu All Over Again, And It Needs To Do Better

  • SEC Chief, Testifying Before Senate, Says Dodd-Frank Replaced 2,250 RIAs And $115 Billion AUM With 1,500 New RIAs Managing $3 Trillion

  • SEC Wants Data And Comments About Harmonization Of The Rules Governing The Way RIAs Deliver Advice Versus Broker-Dealers

  • Sizing Up The Powerful Forces Aligned To Fight Making FINRA The SRO For RIAs

  • Social Media Adoption By RIAs and Broker/Dealers

  • Talent Exodus From Large Firms Continues In 2012

  • TD Ameritrade Integration With Salesforce Outdoes Schwab's Effort

  • Tech Survey By A4A Shows Schwab PortfolioCenter Remains No. 1 Portfolio Reporting App But Field Of PMS Vendors Is Growing

  • That "Advisory Firm" John Bunch Of TD Ameritrade Went To? The Mutual Fund Store

  • The Moral Compass Of The Financial Advice Profession Is Being Reset, As Fee-Only Advisors Are Tarnished Again By Scandal

  • The Most Popular Professional Applications Used By RIAs; Advisors4Advisors Technology Survey

  • The Number Of Asset Management Firms Buying Independent RIAs Is Rebounding

  • Underscoring Why The Financial Planning Coalition Is Headed In the Wrong Direction, 1,100 Advisors Attended AICPA’s Financial Planning Conference

  • What Do You Want To Be In 2012? A Business Or A Practice? How To Create A Successful And Enduring Investment Advisory Business

  • Why Do So Few RIAs Accept Finra's Invitation To Administer Arbitrations With Clients? It Might Not Be Just Because They Don't Like Finra

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