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Alts require due diligence

August 11, 2013

Financial advisers must demand first-class due diligence and analysis on the bevy of alternative investments flooding the independent-broker-dealer and registered investment adviser marketplaces. Indeed, last week's news of fraud allegations...

LPL right to eliminate 'self-supervision'

July 28, 2013

Over the past decade, chief executive Mark Casady has built LPL Financial LLC into a 13,000-rep behemoth through two tactics: buying broker-dealers and aggressively recruiting registered representatives and financial advisers, many of whom were...

Finra's financial woes no recipe for viability

July 14, 2013

Along with regulating broker-dealers, Finra's mission includes protecting investors. But if the Financial Industry Regulatory Authority Inc. can't turn its fortunes around, that essential objective for financial advisers could be in jeopardy....

Reps: Get the lowdown on your firm

June 2, 2013

Registered representatives and financial advisers at small to midsize broker-dealers were reminded last week that to protect their businesses, they need to know the financial health of the firm with which they affiliate. Advisers must, at a...

Heading off hack attacks

May 19, 2013

Financial advisers are on the front lines protecting their clients from cybercrime. Just take the story of one firm and one adviser, Mark Reed. The managing director of Bush O'Donnell Investment Advisors Inc. last week witnessed an online attack....

Nontraded-REIT party is about to commence

May 5, 2013

Investment advisers and their clients will reap a bonanza over the next two years or so as a number of large nontraded real estate investment trusts go public or are acquired. The windfall, however, presents a dilemma for advisers. Should they...

Be leery of 'bondlike' claims of investment products

April 21, 2013

Financial advisers must remain wary of the claims of some funds and investment products that promise to be “bondlike” but fail to live up to that promise. Advisers' vigilance is particularly needed as investors grow skittish of bonds: The...

Relationship between Wall Street and independents grows

April 7, 2013

Wall Street institutions, including The Goldman Sachs Group Inc., are chasing independent financial advisers and hybrid brokers with the ardor of a teenage boy at his first prom. What those money managers and consultants need to remember is...

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