News, Vision & Voice for the Advisory Community
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162 articles
100 brokers have moved to RBC's broker dealer or RIA unit in the last 4 years though some recruiters need convincing that the RIA unit is more than a retention tool
The move toward a 'very quick death' shocks virtually everyone as the New York data giant alludes to its plans to offer financial advice down the road
MarketCounsel chief pleads for the regulator to draw a bright line between 'patently disparate and distinct' sales and advice models or risk a watered-down fiduciary standard
The namesake of the Dodd-Frank bill seems to buy into a suitability approach as a gold standard for financial advice
2008-2009 market meltdown settlements are just now coming to fruition, and giant RIAs are signing up with a filing firm to get in on the action
Brian Hamburger's novel service to become an RIA in a day is a response to stepped-up electronic snooping at broker-dealers and nettlesome questions asked by state regulators
How Brian Hamburger booked the Martin and Lewis of financial legislators to his -- formerly -- bare-bones conference
2012 was a year of drama as sweeping deals of unexpected size were struck and the industry took to the Hill to fight against FINRA overlords
Is the Securities and Exchange Commission asking for more cash to examine RIAs, getting it, then spending it on other priorities?
Brian Hamburger, David Tittsworth and Pat Burns see no gain in breathing easy with so many endgame possibilities still in play
The former FINRA, CFTC and SEC exec will replace Mary Schapiro next month as RIA leaders brace for a new round of regulatory battles
Tussles over scale, branding and professional service played out vividly in Vegas
Elliot Weissbluth, Knut Rostad, Charles Goldman and Joe Duran helped show us why thought leadership begins when sparks fly
Focus and its biggest RIA, Buckingham, exited the Protocol this summer while Lori Van Dusen signed on, but there's no change in its strategy to go after breakaway brokers, co-founder says
A remarkably varied lineup of industry A-listers are odds-on to spark lively conversation at the compliance confab
The Industry Sourcebook for RIAs
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