Articles tagged "NAPFA"
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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
Duane Thompson says Bachus bill will croak in Congress but others see danger aplenty
The FPA veteran who spearheaded the killing of the 'Merrill Lynch Rule' outlines his vision of compromise on the SRO issue
May 29, 2012 at 3:46 PM
NAPFA's appointment of a new chairman could be a big deal for RIAs
Ron Rhoades spent the last year in obscurity but now he's "ready to take the gloves off"
May 23, 2012 at 3:03 AM
A John Wooden disciple makes 13 points to RIAs at NAPFA about how to excel
Andy Hill started with the premise that advisors, like most people, are good, not great, at what they do
May 21, 2012 at 3:28 AM
What happened when HighTower assembled its RIAs at Trump Tower
300 aggregated folks dined lavishly and heard Ed Viesturs; and those perks may have a deeper purpose
May 15, 2012 at 3:15 PM
Avoiding FINRA oversight may depend on talking sense to an options-trading House Republican
Spencer Bachus, known to expertly trade options for his own account, seems to be down with what transactions-based advisors like
April 26, 2012 at 5:37 AM
NAPFA's John responds to critic questioning her group's stance on compensation in light of new DOL rules
The national chair says the first objective is not to scare small investors away
April 3, 2012 at 2:55 AM
Why it's not OK that NAPFA and FPA agree with FSI about relaxed accountability for holders of IRAs
There is no 'suitability' America and 'fiduciary' America
April 2, 2012 at 3:59 AM
Two advisors debate the financial viability of serving as a fiduciary to small accounts amid DOL's new rules
Larry Steinberg expresses big doubts but Jeff McClure sees advisors wedging in like Ace Hardware amid Home Depot and Lowe's
March 30, 2012 at 6:09 AM
As DOL contemplates stiff fiduciary-related penalties on advisors, NAPFA and FPA find rare concord with FSI
The more RIA-focused groups agree with the IBD trade group that holders of smaller IRA accounts will not be able to pay for advice under new rules
March 22, 2012 at 4:07 AM
FINRA attacks Boston Consulting Group over SRO study
BCG sticks to its guns saying that the double-dip cost of SEC oversight makes any FINRA numbers moot
December 16, 2011 at 7:05 AM
Are Schwab’s independent branches an opportunity or a threat to RIAs?
For RIAs with financially profitable practices that meet their lifestyle needs, I think owning a franchise would take them back a few steps.
December 9, 2011 at 4:03 PM
NAPFA conference yields valuable nuggets of practice-management and marketing advice
A strategic embrace of sales can build your practice dramatically, was the message NAPFA's practice-management conference held in Brooklyn
November 22, 2011 at 5:45 AM
Nine threats to the RIA business and how they can be avoided
The fragmented 13,000-firm army is poised for great things but too much focus on expediency could bring its own problems
November 14, 2011 at 5:24 AM
Legal analysis: The chances that Wealthcare beats UBS or upends the financial planning community
The patent lawsuit could have real consequences for financial advisors
