Articles tagged "Skip Schweiss"
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TD Ameritrade pulls off amazing Summit in DC that reveals rot to the core of SEC, FINRA and ERISA system
A consumer panel sobered the crowd off the bat with war stories and then Ron Rhoades, Mercer Bullard, David Tittsworth, Sheryl Garrett, Tom Nally, Marilyn Mohrman-Gillis and others pulled no punches
September 18, 2014 at 5:54 PM
How a band of advisor-execs scaled 5,000 sunless feet to the summit of the Half Dome -- and the lessons the exploit yields for growing RIAs
Advisors donned headlamps, assuming considerable risk effecting the nighttime ascent in Yosemite -- including an encounter with a mama bear
July 18, 2014 at 3:05 PM
TD Ameritrade hosts a posh 'billion-dollar club' summit at a seaside Ritz Carlton
With 190 cosseted advisors representing $215 billion of AUM, Fred Tomczyk laid out the bucks for Ben Bernanke and more
June 12, 2014 at 10:46 PM
Schwab snares its first clients for ETF-only 401(k)s as one of its 401(k)-focused RIAs defects to TD Ameritrade
Miracle Mile and Schwab both have their eyes on the same value-proposition prize -- just not with each other anymore
June 4, 2014 at 3:31 PM
Phyllis Borzi tightens the noose on 401(k) providers that flout DOL disclosure, not without critics
The idea is to have a de facto big red arrow pointing to key disclosures on revenue sharing but it'll add to the verbiage surplus
March 11, 2014 at 9:04 PM
Schwab 'fesses up to Wall Street just how hard winning plan sponsors to its 401(k) ETF platform will be
Convincing plan sponsors and pension consultants to join a ETF paradigm shift to ETFs is a big ask, its executives tell Wall Street
February 18, 2014 at 4:11 PM
Lauren Schadle shows mettle as FPA stakes out turf in skirmish with CFP Board at its national conference in Orlando
Despite a no-show Phyllis Borzi, the FPA Experience was a substance-filled event in which the organization sought to redefine and reclaim its soul
October 22, 2013 at 5:00 PM
How the future of the 401(k) industry may hinge on the outcome of a lawsuit brought by Fidelity employees against their own company
The legal case is built on a Fidelity-only funds menu but the Boston 401(k) king intends to show these participating employees got a sweet, fair deal that went beyond DOL mandates
October 17, 2013 at 6:12 AM
Chip takes a 90-minute rip at wealth management at the Tiburon CEO Summit
The event's name oozes self-importance until Roame takes the stage and blasts everybody, himself included
October 9, 2013 at 6:43 PM
FINRA's scandalous litany of failures and its efforts to redefine the true fiduciary standard out of existence
Our one-man think tank continues his scathing indictment of the SRO's disingenuous and downright fraudulent practices
July 17, 2013 at 3:10 AM
RIA leaders venture to Grand Canyon to get beneath Earth's surface -- and their own
Business bound these execs and advisors on a self-inflicted adventure, but their bonds were tested on a deeper level
July 3, 2013 at 9:45 PM
TD throws its first client-best-interest summit, a micro-event, by 'candlelight' in Palm Beach and ideas rise from the RIA deeps
As members of a consumer panel bitch creatively, fed up advisors dig deep for ideas that depend less on DC vicissitudes and more on RIA will and unity
June 17, 2013 at 4:33 AM
TD Ameritrade Institutional Elite Summit boasts big firms, big ideas and a defiance of the weather
A combined $133 billion AUM of advisors -- made up of 133 advisors -- made for rareified, if highly humid air in Palm Beach
June 14, 2013 at 2:56 PM
Barney Frank puzzles crowd on his fiduciary stance at TD summit -- as questions from Skip Schweiss and advisors expose his haziness on the RIA structure and soul
The namesake of the Dodd-Frank bill seems to buy into a suitability approach as a gold standard for financial advice
June 13, 2013 at 6:02 PM
An advisor fee bill hits Congress again, this time gaining qualified support from RIA groups
Rep. Maxine Waters' bill, which would require fees from advisors for the SEC, is unlikely to pass, but groups say it will push off FINRA efforts for now
