Articles Published 8/2012


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'Ocean's Eleven'-grade RIA sharpies set to play Vegas at MarketCounsel's 2012 Summit

A remarkably varied lineup of industry A-listers are odds-on to spark lively conversation at the compliance confab

August 31, 2012 — 5:19 AM UTC

Unlike politicians, advisors can't walk back false claims

It may be flip-flopping season on the campaign trail but RIAs must be careful to stick to one regulatory story

August 31, 2012 — 5:10 AM UTC

Two top Fortigent talents leave in the same week as industry-watchers ask: Was it them or was it LPL?

The LPL-owned investments outsourcer may not replace CIO Nathan Sonnenberg and alternative investments director Robert Mileff

August 30, 2012 — 4:59 AM UTC

Not everyone has to make rain: Mariner brings over former LPL advisor who'd rather stay indoors and give advice

HSMC Wealth Management and its $40 million in assets is one of Mariner's smaller acquisitions of late as it looks to make smart, strategic buys

August 29, 2012 — 4:20 AM UTC

LPL showcases some successful, ambitious advisors as the FOCUS 2012 conference wraps up

'King of the world' James Cameron was on hand to talk about the risk of not taking risks and an ex-IMF economist confirmed that there are plenty to go around

August 29, 2012 — 4:12 AM UTC

Obfuscation Nation: 401(k) fee disclosure laws still don't give the true cost of plans and may well cause more agita for would-be retirees

The new DOL rules are far from ideal but may give fee-based advisors an edge in the small-plan market

August 28, 2012 — 4:37 PM UTC

A 401(k) plan dethroning deferred: The DOL-mandated disclosures may not set any legacy palaces on fire near-term

The expected RIA field day and B-D comeuppance may come limping out of the gate; Fidelity has put 17 million 401(k) disclosures in the mail with few follks batting an eye -- with high-balance participants as the possible big exception

August 28, 2012 — 3:33 AM UTC

Before taking a self-imposed vow of silence, Ron Rhoades sounds off on the RIA industry and tells what's it's like to hit a professional wall

The outspoken NAPFA chairman-who-wasn't covers why the Bachus bill will rise again, the true fix for RIA exams and why the term 'fee-based' is inherently 'fraudulent'

August 27, 2012 — 3:33 AM UTC

After a year under wraps, Laser App unveils a new "anywhere" product at its sixth annual conference in San Diego

Laser App Anywhere is, from its cloud, fundamentally different from the company's legacy desktop, server-based software products

August 27, 2012 — 3:29 AM UTC

Why Bachus' SRO-that-must-not-be-named would prove a tyrant to RIAs

The author says that as a private corporation endowed with governmental powers, FINRA is unsafe at any speed

August 24, 2012 — 4:02 PM UTC

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