Displaying 110 results
Clients are often lost with found money
Money is a good thing. By and large, most people believe that. But individuals who come into…
Selling to junior partners is not a piece of cake
At a discussion panel last Tuesday at the NAPFA conference on selling a business to a junior partner,…
Financial elder-abuse rampant
The tabloid newspapers and bloggers like nothing more than a messy fight involving a wealthy family. The…
<b> Shop Talk:</b> Instruct clients to keep appraisals up-to-date
Investment advisers should insist that clients get appraisals of valuables updated periodically
The tea leaves say ‘sell,’ according to this portfolio manager
Frank A. Barbera Jr., co-portfolio manager of the Sierra Core Retirement Fund, tracks a staggering number of jobs reports and other economic indicators. They all say the same thing, he says.
NAPFA fears fallout from Spangler probe
The National Association of Personal Financial Advisors, whose members consider their fee-based model to be the gold standard for unbiased advice, is worried that its reputation will be tarnished in light of a second high-profile investigation involving one of its former top officers
NAPFA fears fallout from probe of ex-chairman
The National Association of Personal Financial Advisors is worried that its reputation will be tarnished in light of a second high-profile investigation involving one of its former executives
Another ex-NAPFA prez in hot water
FBI raids home of adviser Mark F. Spangler in probe of alleged fraud; served as president of financial advisers association in 1999
NAPFA copes as members are charged
The high-minded, fee-only advisers who lead the National Association of Personal Financial Advisors last week told its members that they are struggling to come to terms with allegations that three NAPFA advisers, including a former leader of the organization, have wronged clients.
SEC charges former president of NAPFA and his firm with taking $2.48M in kickbacks
The SEC has charged James Putman and a colleague with taking $1.24 million each in kickbacks related to unregistered investment pools that their firm managed.
Incoming NAPFA head looks to keep advisers from growing up, out of group
Incoming NAPFA chairman William Baldwin is looking to find ways to keep firms involved in the 2,150-member organization once they get larger.
GAO report says planners do not need new regs
Financial planners are sufficiently regulated under current federal and state laws to protect consumers, but some consumer protection issues remain, a government report released last week concluded
‘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.
For trade groups, lobbying pays
For careerists in financial-trade-group management, heading a lobbying organization backed by huge corporate interests appears to be a more lucrative route to success than serving and educating financial advisers.
Groups retrench on defining planners
The Financial Planning Coalition has given up its effort to get Congress to establish a definition of financial planning that would have brought thousands of insurance and securities brokers under the sway of a new oversight board.
Industry groups feeling the pinch from the economy
The economic downturn is hurting the associations that represent financial planners, investment advisers and big brokerages.
Bid to regulate financial planning industry will soon run into opposition, leaders predict
The industry effort to regulate financial planning as a profession has support from within — but it won't escape opposition from other sects of the financial services community, several industry leaders said today.
Bid to regulate planning industry will soon run into opposition, leaders predict
The industry effort to regulate financial planning as a profession has support from within, but it won't escape opposition from other sectors of the financial services community, several industry leaders said last week.
Parsing the industry’s F word
So much rides on the meaning of “fiduciary,” a word alien to the vast population and, at least until recently, to a good part of the financial world.
New NAPFA chairman ready for fight over fiduciary standards
Preserving the traditional definition of a fiduciary is the biggest challenge facing the National Association of Personal Financial Advisors, according to William Baldwin, who officially began his one-year term as NAPFA's chairman yesterday.
