Articles tagged "Neil Simon"


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This MBA chose an RIA, now with $1.4 billion AUM, but as a business model, not as professional choice per se

Neal Simon says that -- Ric Edelman aside -- nobody is plotting expansion like him

February 14, 2014 — 5:26 PM UTC

A roll-up exec talks about owning a roll-up and calls out his fellow entrepreneurs to focus on genuine distinctions

There are private-equity backed consolidators and RIA aggregators, and subspecies of each of those, but we can call them all roll-ups

November 13, 2012 — 4:32 AM UTC

TD Ameritrade's 2012 Elite Advisor Summit gathers $89 billion of RIA assets under one Laguna Beach umbrella

Fresh off a week of D.C. intensity, the annual event crackled with strong opinions and offensive strategies

June 15, 2012 — 2:45 AM UTC

GAO study puts insurance agents up for scrutiny as it rejects idea of sweeping RIAs, b-ds, planners into one regulatory pool

A disappointment to those advocating for a financial planning profession, the study details the hodgepodge of regulation without recommending major changes

January 19, 2011 — 3:51 PM UTC

The 7 government actions that could reshape the advisory business in 2011

Funding may derail some grand plans, but regulations roll on (and so do tax threats)

January 7, 2011 — 1:49 PM UTC

DC Current: A damning view of financial services from Inside Job's director, Charles Ferguson

Film connects the dots leading to the crisis and lays blame at the doors of some unlikely candidates

November 5, 2010 — 5:00 AM UTC

How financial reform gives the SEC new bite; plus at least five other things advisors ought to know about the legislation

The new financial world will be constructed mostly out of the public eye, as regulators begin studying 150 issues Congress punted to agencies

July 26, 2010 — 3:36 AM UTC

Improbable win for fiduciary standard: Congress set to hand SEC power to impose fiduciary duty on broker-dealers

Conference committee agrees on a measure that calls for six-month study and then gives SEC authority to write single set of rules for advisors and brokers

June 25, 2010 — 3:36 AM UTC

Revised amendment aims to heal breaches in advisor community

New oversight for financial planners may be tougher for Senators to vote against because it is seen as pro-consumer

March 19, 2010 — 7:32 PM UTC

Senate proposal pushes most RIAs one step closer to state regulation

Senate and house bills now both seek to wrest 75% of RIAs away from SEC oversight

March 16, 2010 — 5:08 AM UTC