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Articles tagged "NAPFA"


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Gary Zimmerman tests out his MaxMyInterest pitch on Bob Veres.

NAPFA is small, pure and aching for an elevator pitch -- but the perfect place for NYC-based MaxMyInterest to debut

Amid the din of an otherwise predictable Midwestern JW Marriott event, a different kind of robo got swarmed by the advisors wearing halos

October 27, 2015 at 5:17 PM

Ron Rhoades: I say let these firms so depart the marketplace! There are many, many investment advisory firms willing to provide trusted advice for reasonable fees.

Why Wall Street's DOL killer threat -- that 'millions' of IRA investors will go unadvised under new rules -- is hogwash

Investors already have options and Wall Street's withdrawal, already in progress, can only improve investor outcomes

June 8, 2015 at 10:29 PM

Christopher Van Slyke: From day one (in 2007), when we merged, he told me he was going to go sailing.

Scott Leonard's 2-1/2-year boat odyssey around the world is followed by split with his partner

Christopher Van Slyke realized Trovena was presented with fast-arising opportunities he couldn't pursue with Leonard at sea

November 22, 2013 at 5:47 PM

Ron Rhoades: Shouldn't the phrase: 'member, FINRA' be viewed like the warnings on cigarette packages -- i.e., as a consumer warning sign?

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

Jack Waymire: It is hard for me to believe a CPA/PFS with 10 years' planning experience is any less qualified compared with a CFP with the same amount of experience.

Opinion: Why NAPFA's CFP-only approach is a slap in the face of many financial advisors

In the alphabet soup of designations for advisors are many legitimate practitioners whom the association's new policy will shut out

December 21, 2012 at 3:41 AM

Kevin Keller: We are business-model- and compensation-neutral, but all CFP professionals are required to put client interests ahead of their own.

The once underrespected CFP gets a lift after Merrill Lynch and now NAPFA make it central for newbies

Still, CFP certificants shoot down the idea of making the CEO credits requirements even harder, and fiduciary concerns linger

December 5, 2012 at 7:29 AM

Ellen Turf: I do feel like I've done everything I could do.

NAPFA's Ellen Turf hands in her resignation -- in part on the advice of her financial planner

On the heels of the l'affaire Rhoades the nonprofit mounts a search to replace its longtime leader when she steps down next year

November 12, 2012 at 9:45 PM

Lauren Locker: I'm very, very busy.

Little-known understudy steps into NAPFA star role as Ron Rhoades bows out

Some are still pining for Ron, but Lauren Locker is confident she'll be able to win over her audience

September 6, 2012 at 1:50 AM

Ron Rhoades: I’ve put a big target on my back.

Before taking a self-imposed vow of silence, Ron Rhoades sounds off on the RIA industry and tells what's it's like to hit a professional wall

The outspoken NAPFA chairman-who-wasn't covers why the Bachus bill will rise again, the true fix for RIA exams and why the term 'fee-based' is inherently 'fraudulent'

August 27, 2012 at 3:33 AM

Ron Rhoades: I'm looking forward to a full night's sleep tonight.

State of Florida gives low sanction to Ron Rhoades

Mitigating factors are cited by the Division of Securities and the resigning NAPFA chair expresses appreciation

August 23, 2012 at 10:03 PM

Ron Rhoades: I can assure you that I am doing fine.

Ron Rhoades: Staying on at NAPFA would have given ammunition to RIA industry foes

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

August 21, 2012 at 8:52 AM

Rep. Spencer Bachus fired off a WSJ Op-Ed pushing for his bill two weeks after he had tabled it -- leaving advisors gobsmacked.

Amazed and confused: Advisors struggle to make sense of Bachus' Wall Street Journal Op-Ed salvo

House panel chief dives back into the oversight fray, but confusion persists over timing, intentions

August 7, 2012 at 3:22 AM

Charles Goldman: We've barely scratched the surface of our networks.

Advizent hits $100-billion asset target in a matter of weeks triggering hires

The RIA grand brand and co-op gains momentum as Charles Goldman goes all-in

June 4, 2012 at 5:23 AM

Ron Rhoades: "Suitability" is a failed doctrine. FINRA itself is a colossal failure, by any measure.

An in-depth analysis of FINRA's attempted takeover of RIAs and why the group should be disbanded, Part 2

FINRA's aim is to stamp out small RIAs that compete with its large Wall Street firms. Don't let it happen, pleads NAPFA's new chairman

May 31, 2012 at 5:24 AM

Ron Rhoades: FINRA was already an expert at protecting its large Wall Street firms from competition.

Why FINRA's power grab for RIAs needs to be stopped to avert the death of the profession, Part 1

Looking back from the year 2025, the author recounts how FINRA seized regulatory control and crushed the life out the once-thriving RIA channel

May 30, 2012 at 4:37 AM

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