Articles tagged "Les Abromovitz"


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How BrightScope plans to publicize RIA advisory fees fairly amid all those onion layers

One competitor is convinced the Alfreds are merely rewarding fee obfuscation but the San Diego iconoclasts refuse to be discouraged

April 12, 2013 — 5:11 AM UTC

Why a $750 million LPL hybrid is selling its annuities expertise by eyeballing client contracts for RIAs

VAs aren't all bad, according to one New Jersey RIA -- in fact, some yellowing agreements are well worth a second look and could be worth keeping

March 26, 2013 — 3:23 AM UTC

NerdWallet's lead generation website has 20 Bay area advisors in beta, MIT, Wharton, Brown and Stanford folks running things and a Silicon Valley confidence

For Ask a Financial Advisor, the medium is the (video) message and the specializations include Lutherans

March 5, 2013 — 6:12 PM UTC

SEC may tackle RIAs claiming to have 'skin in the game'

Heed the cautionary tale of the recent $1.6 million settlement against an RIA and its affiliated B-D that falsely claimed they co-invested in a fund

December 28, 2012 — 2:30 AM UTC

Scottrade proclaims itself the 'compliance custodian,' partnering with RIA In a Box and staffing a hotline with ex-regulators

But the mega-custodians are having none of it, saying the initiative is good as far as it goes, but lacks the horsepower to tackle the big questions

December 7, 2012 — 5:01 AM UTC

RIAs must prepare for post-disaster recovery or regulators will lower the boom

Tornadoes, floods and hurricanes, sure, but death, disability and bad succession plans can also be disastrous for clients

October 29, 2012 — 3:22 PM UTC

With SEC coming down hard, TV and radio star RIA principal in San Diego makes his case to listeners

The commission says Ray Lucia back-testing is questionable but some high-profile defenders take his side

September 19, 2012 — 4:28 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

In this election season, cast your vote for president in private -- not in your firm's newsletter

Whether Romney or Obama is your man there's no upside in sharing that information with your clients -- but feel free to share about the bigger picture

August 10, 2012 — 3:48 PM UTC

Older investors' complaints deserve -- and receive -- special scrutiny from regulators

Examiners give seniors the benefit of the doubt in a complaint, making it imperative to keep meticulous records focusing on not just the 'what' but the 'why' of investment decisions

July 17, 2012 — 3:53 PM UTC

Beware: RIA privacy breaches aren’t always high-tech

Bellowing that reaches the waiting room is one example of potential confidentiality-breaching behavior

June 20, 2012 — 3:48 AM UTC

What the SEC is up to with its website's fancy new look

The redesign is a nod to social media and a recognition that it needs the public

May 14, 2012 — 3:37 AM UTC

PR firms must recognize that RIAs answer to a higher authority

There is such a thing as bad press -- a disclosure that seems 'a bit much' to your public relations firm may be just enough to land you in a compliance hot spot

May 10, 2012 — 5:07 AM UTC

The SEC will often 'tell' advisors what compliance issues deserve attention

The agency has its own ways of communicating what gets on its regulatory nerves

April 9, 2012 — 5:58 AM UTC

Where RIAs should draw the line in rewarding clients for referrals

By expressing your gratitude in a tangible form, you run the risk of turning your client into a solicitor

March 26, 2012 — 5:50 AM UTC