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September 02, 2010
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NJ Advisor Charged In $11M Ponzi Scheme |
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A New Jersey-based investment advisor has been charged by the
SEC with stealing $11 million from
clients through a Ponzi scheme she ran over the past 13 years.
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Read more...
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September 02, 2010
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Maximizing Success Without Enforcing Minimums |
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Many successful advisors build
lucrative practices without enforcing minimums or focusing on asset
size as a key criterion.
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Read more...
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September 02, 2010
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Pension-Style Investing Limits Individuals |
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Many advisors are still taking their cues from pensions funds and
endowments, even as losses in the recent financial crisis prompt these
institutions to reshape their strategies.
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Read more...
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September 01, 2010
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Financial Industry To SEC: No Fiduciary Standard, Please |
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Based on comments received by the SEC, it appears the majority of people who sent
letters to the agency don't want the fiduciary standard of care imposed
on the advisory industry.
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Read more...
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September 01, 2010
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Vanguard Ranks 1st With Advisors Among ETF Providers |
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Vanguard Group has displaced BlackRock Inc.'s iShares unit as the
provider of ETFs with the most advisor loyalty as
surveyed by Cogent Research.
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Read more...
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September 01, 2010
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Momentum, And More Room To Run, For Junk Bonds |
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Junk bonds closed out a record-setting August and look poised to
resume their bull run in September.
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Read more...
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August 31, 2010
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More Advisors Providing College Help |
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More financial advisors are being asked by affluent clients to help
with a job that used to be for parents alone: finding the right college
for their children.
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Read more...
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August 31, 2010
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Study: Boomer Retirement Plans Hold Steady |
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Baby boomers have remained steadfast in their retirement planning
despite the nation’s economic troubles, according to a new survey.
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Read more...
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August 31, 2010
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U.S. Life Insurance Ownership At 50-Year Low |
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The poor economy has led Americans to cut corners on their life
insurance—at levels not seen in half a century, according to a new
study.
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Read more...
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August 31, 2010
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Fidelity Reaches Milestone With WealthCentral |
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Fidelity Investments says more than 600 advisory firms
now use its technology platform for RIAs and that number should more than double in a year.
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Read more...
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August 30, 2010
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New Commodity ETF Touts Academic Pedigree |
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A new commodity exchange-traded fund's complex
mechanics and scanty track record means potential buyers will want to
study it very carefully.
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Read more...
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August 30, 2010
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Schwab To Buy Boston RIA For $150 Million |
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In a major move to offer institutional and retail clients more
investment solutions, Charles Schwab Corp. is acquiring Windward
Investment Management for $150 million.
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Read more...
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August 30, 2010
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NY Advisors In Examination No-Man's Land |
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The Securities and Exchange Commission could be stuck with policing
hundreds of New York-based advisors for longer than Congress envisioned
when it passed financial reform earlier this year.
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Read more...
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August 27, 2010
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Advisors Press Business-Owner Clients To Update Valuations |
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Some financial advisors are pressing business-owning clients to get up-to-date valuations of their business in order to adjust their
retirement and estate plans accordingly
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Read more...
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August 26, 2010
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Advisors Remain Optimistic, Clients Are Not |
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Advisor optimism about a number of economic indicators has moderated
over the last six months, but clients’ outlook has taken a turn for the
worse, according to a semi-annual survey by Schwab.
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Read more...
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CONFERENCES
Dorothy 
