Displaying 159 results
The pluses and minuses of Google+
To plus or not to plus?
Seal of approval for advisers? Goldman, Lockshin say it’s in the works
Industry heavyweights launching branding cooperative for IAs; imprimatur to be based on a number of screens
Genworth unveils advisory firm matchmaking service
Genworth Financial Wealth Management Inc. last week launched a business transition service geared toward helping financial advisers who…
Schwab to cut the ribbon on its third franchise office
Brokerage aiming to have ten such branch outfits in operation by end of year
Finra, planners slug it out over adviser SRO cost
Regulator pegs annual cost at $155M, adviser groups put price at $610M; either way, Barney Frank hates the whole idea
OX gored as SEC goes after business bought by Schwab
Commission claims optionsXpress unit OX Trading operated as unregistered dealer; ex-CFO also named
Top RIAs form anti-roll-up advocacy group
In a time of frenetic deal making and consolidation, a half dozen leading RIAs have banded together to…
Savant hooks up with The Monitor Group in rare RIA merger
Bigger is increasingly becoming better in the world of large registered investment advisory firms. The latest example…
A talent shortage looms as the industry booms
The profound demographic trend that is boosting demand for investment advice — the millions of baby boomers retiring…
Advisers struggle with disputes over asset valuations
A dead-in-the-water limited partnership that just won’t go away is giving an investor and his financial adviser fits…
Nontraded REITs need more regulation
GIVEN THE BARRAGE of negative publicity surrounding nontraded real estate investment trusts, broker-dealers and REIT sponsors have a…
Advisers stepping up with tax tips accountants are ignoring
Coming tax law changes necessitate a closer look at strategies
Talking Points: How firms manage their staff
The following is excerpted from the webcast “Managing Staff Growth: When and How to Make the Next Hire,”…
Advisers worry about future of retirement savings incentives
Despite emerging unscathed from an initial review by a House committee, tax incentives for retirement savings could be…
The ‘Buffett rule’ is getting old
Enough already, with the Buffett rule. Once again, President Barack Obama is pushing the idea of imposing higher…
Advisers, pay attention to House SRO bill — even though Senate may not
Push for self-regulator for investment advisers could pick up momentum in the lower chamber
Keys to building a successful recruitment strategy
When discussing personnel needs with our clients, an axiom we often share to help them keep in sharp focus as they evaluate talent is: Hire character, train for skill and pay for talent.
SEC sets investor advisory committee
The SEC has named its investor advisory committee but still needs to appoint chairman and vice chairman, and set meeting schedule
UBS wins dismissal of billionaire’s tax lawsuit
A lawsuit filed by Igor Olenicoff, who blamed UBS for his failure to disclose about $200M in offshore accounts, has been dismissed
When the tax man cometh for our troops
In addition to worrying about terrorists and buried bombs, it turns out that about 60,000 active-duty troops and reservists have another fear-inducing group gunning for them: the Internal Revenue Service.
