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The Pittsburgh, Pa.-based automated compliance and risk management software company has awarded the AIF designation to over 11,000 advisors since 2003
Guided by an ex-Financial Engines ringer, Paul Gamble, the New York startup is now portfolio modeler for $100 million
The Neuro-Fiduciary & Governance Psychometric Instrument involves an EEG, an interview and six colleagues willing to vouch for your true fiduciary bona fides
The Drinker Biddle attorney's invariably even tone gained inflection as he spoke of how brokers can only invoke BICE exemptions to go off DOL script by zealous, proactive documentation
The problem, Rhoades says, is that a pseudo-fiduciary standard asks consumers to assume the burden of knowing what's best for them when it comes to investing, which brings the problem full circle
As Min Zhang put her millenial self in the shoes of a small IBD owner, anxieties multiplied and solutions seemed scarce
RIAs can step in and add immediate value to a plan by purging these accounts that drain time, add costs and compromise efficiency
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
Our one-man think tank continues his scathing indictment of the SRO's disingenuous and downright fraudulent practices
An easing of the ban against advisors accepting payment from money managers for selling their products may be in the works
The former FINRA, CFTC and SEC exec will replace Mary Schapiro next month as RIA leaders brace for a new round of regulatory battles
Shocked industry advocates are conflicted as to whether Rhoades should have stayed the course; in another industry shakeup, FPA's Marvin W. Tuttle announces he will step down
The San Francisco custodian's deal with fi360 will help advisors meet increasing demand from employers that their advisors be fiduciaries
Kathleen Stewart wore many hats at the big wealth manager and has worked for an RIA and Goldman Sachs alike
Bluff Point Associates principals liked the recurring revenues and bright growth prospects
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