Table of Contents

Issue Date: October 21, 2012

Special Report Archive

Industry Attitudes

InvestmentNews surveyed 500 advisers to measure their attitudes about the economy, the business climate, regulation and a host of other issues. Here is the first installment of those results.


Expansion at Schwab rankles RIAs

By Dan Jamieson

With its purchase of ThomasPartners, Schwab risks ruffling feathers among its more than 7,000 RIA custody customers, some of whom worry about competition from the money managers.

The Hartford's makeover centers on mutual fund push

By Darla Mercado

Fresh from dropping its annuity and life insurance product lines, The Hartford Financial Services Group Inc. is sharpening its mutual fund pitch to broker-dealers. The massive insurance company is undergoing a makeover, this time as

Advisers face barriers to getting client referrals

By Liz Skinner

Financial advisers who are hoping to generate more referrals from clients have to overcome the underlying problem that people are reluctant to recommend their trusted financial professionals to others. About 83% of clients said that

Short Interests


SEC must hedge bets on advertising

The agency should go back to the drawing board to come up with a plan that has safeguards in it to minimize the very real dangers facing the investing public.

Just Thinking

Other Voices

Practice Management

News for Financial Advisers

The Tax-Conscious Adviser

Technology Update



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