Sep 3, 2013
How 10 articles in August define what RIAs care about
From naked fear in the 401(k) realm to ad campaign overhauls in custody world, advisors read up on big picture information defining their business
Person
Ron Rhoades
92 articles
Articles tagged "Ron Rhoades"
Page 3 of 7Aug 19, 2013
Legal analysis: Why the Yale 401(k) letters, limits aside, should raise an alarm to plan sponsors
Ayres may not have it all letter perfect but his basic points have a legal basis
Aug 12, 2013
An X-ray of one affluent, educated and sophisticated investor's portfolio shows how it was chewed up by fees
Helping an ex-Fortune 500 retiree prepare for her appearance before Congress, the author waded through a mountain of paper only to discover that the woman was likely to outlive her portfolio
Aug 1, 2013
Ron Rhoades, a lawyer, asks: Has Sheryl Garrett invented an RIA future of attorney-like comp?
Members of the Garrett network find pitfalls using flat fees and hourly fees (people want to kill lawyers, remember?) but a template for a fiduciary future may be taking shape
Jul 28, 2013
What the 8 pillars of a FINRA-replacing entity for RIA oversight look like and how personal accountability is key
First and foremost, the PRO would have as it members individuals (not firms) who are qualified to become members of the profession
Jul 17, 2013
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
Jul 9, 2013
The story of FINRA's implacable drift from its founding ideals to a pallid 'no-lying baseline'
In Part 2 of a four-part series, our one-man think tank narrates the back story of today's fiduciary standoff, getting to the root of the 'insidious conflicts' that made the terms 'broker' and 'trustee' oxymoronic
Jun 24, 2013
Why keeping FINRA from ruling RIAs is critical to these firms, the investor -- and even the U.S. economy
In Part 1 of a four-part series, our One Man Think Tank pulls back the lens to look at how the resolution of the fiduciary furor could reverberate nationwide
Dec 5, 2012
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
Nov 12, 2012
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
Nov 5, 2012
CFP Board shoots down Goldfarb's description of his alleged violation
The former chairman claims he's being hanged on a semantic technicality, but CEO Kevin Keller repudiates the claim
Sep 10, 2012
5 recent acts of courage in the RIA business
Scott Leonard, Tim Kochis, Ron Rhoades, Steve Lockshin and Mike Brown have each shown backbone in their own way
Sep 6, 2012
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
Aug 27, 2012
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'
Aug 23, 2012
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