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Death knell for hybrid adviser model?
As the financial advisory industry continues to evolve, more investment professionals and firms are embracing the hybrid registered investment adviser model.
GAO pans financial literacy programs
A federal certification would strain resources; some simple approaches help
Russian spy stripped of CFP credentials
The Certified Financial Planner Board of Standards Inc. finally has revoked Russian spy Cynthia A. Murphy of her planning credentials.
Planners push back against push-back of universal standard date
Despite claims of GOP lawmakers, FPC says issue of single standard of care has been thoroughly studied
A free, rudimentary estate tax calculator for advisers
While the 2010 Tax Act for now locks in the current marginal tax rates for all income levels, advisers thinking about the future need tools at their disposal now to help sort out a client's future options, especially when it comes to the estate tax.
CFP Board taps Merrill Lynch exec to run biz development
Aiming to extend its outreach to large financial services firms, the CFP Board has hired Joseph V. Maugeri as its director of business development.
Financial planners expect big revenue jump in ’11
Unflinching optimism continues to dominate the outlook of the financial planning community, despite the gloomy forecast from…
Most conservative investors? The young and the affluent
With two of the most severe bear markets of this century fresh in their short-term memories, affluent investors — particularly the youngest investors — appear to be quite skittish about investing in anything but the safest of asset classes.
Wells Fargo’s Carroll: Fiduciary standard will ‘narrow’ investment choices
Wells Fargo & Co.'s head of brokerage operations said banks may reduce the number of investment products offered to customers if regulators impose a fiduciary standard on brokers.
Adviser SRO critics brace for release of SEC study
Worried commission will recommend establishing special regulatory organization for financial planners;
Is split SEC vote behind delay of SRO report?
Schapiro having recused herself, four commissioners left to approve crucial study; report was due Monday
GAO report could be first step toward regulating financial planners
In a Washington where Republicans are ascendant — taking over the House and increasing their Senate numbers to a level that ensures filibuster success — the term “regulation” is unpopular.
New planning designation focuses on gay couples
The College for Financial Planning is offering a new designation — accredited domestic partnership adviser — for planners who work with gay, lesbian, bisexual and transgender couples.
Vanguard pairing 401(k) investors with CFPs
Participants in some 401(k) retirement plans managed by Vanguard Group Inc. now have access to advice from certified financial planners.
The next frontiers in wealth management
As we enter the New Year, financial advisers are probably asking themselves about the strength of the recovery and whether their firm is positioned to capture new clients and talent
‘Logistics issues’ force NAPFA to relocate annual conference
The National Association of Personal Financial Advisors is moving its May national conference to Salt Lake City from Las Vegas, where it was originally scheduled.
The 2011 Outlook
Financial advisers are upbeat about prospects for stocks in 2011, with many predicting that last year's broad market surge will continue into this year. That's what they're telling their clients, too.
RIAs rebounding, but regulatory uncertainty looming large
Most registered investment advisers had a solid 2010 — they expanded their businesses, added clients and were even able to bump up their budgets a bit. Their feelings for the future, however, are not quite as fond.
Antilla: Why do investors trust advisers, but not Wall Street?
Investors are still miffed with the securities industry for the havoc that resulted from the credit crisis. Financial advisers are somehow escaping that wrath.
Ex-CEO of Red Hat sues family’s financial advisers over $60M
The former CEO of Raleigh-based software firm Red Hat Inc. is suing his family's financial advisers, saying they misused $60 million.
