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Articles tagged "NAPFA"


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Duane Thompson: It’d be a compromise, even though that doesn’t seem to be a fashionable word right now.

Duane Thompson says Bachus bill will croak in Congress but others see danger aplenty

The FPA veteran who spearheaded the killing of the 'Merrill Lynch Rule' outlines his vision of compromise on the SRO issue

May 29, 2012 at 3:46 PM

Ron Rhoades: You're going to see a much more active NAPFA.

NAPFA's appointment of a new chairman could be a big deal for RIAs

Ron Rhoades spent the last year in obscurity but now he's "ready to take the gloves off"

May 23, 2012 at 3:03 AM

Andy Hill: For Coach Wooden, one of the best basketball coaches of all time, the great key to learning was asking questions.

A John Wooden disciple makes 13 points to RIAs at NAPFA about how to excel

Andy Hill started with the premise that advisors, like most people, are good, not great, at what they do

May 21, 2012 at 3:28 AM

Elliot Weissbluth: A few years ago we had this meeting with just 20 of us in our old headquarters in the basement eating deli sandwiches.

What happened when HighTower assembled its RIAs at Trump Tower

300 aggregated folks dined lavishly and heard Ed Viesturs; and those perks may have a deeper purpose

May 15, 2012 at 3:15 PM

Karen Nystrom: This proposed bill is a big deal to advisors...We hold out hope that our message will be heard.

Avoiding FINRA oversight may depend on talking sense to an options-trading House Republican

Spencer Bachus, known to expertly trade options for his own account, seems to be down with what transactions-based advisors like

April 26, 2012 at 5:37 AM

Susan John: If no one is willing to advise the consumer of the $25K IRA, that’s a problem.

NAPFA's John responds to critic questioning her group's stance on compensation in light of new DOL rules

The national chair says the first objective is not to scare small investors away

April 3, 2012 at 2:55 AM

Philip Chao: The fiduciary standard should not be reserved for the affluent America.
April 2, 2012 at 3:59 AM

Larry Steinberg: The simple fact is that there is no way to even break even on a $200 per month (contribution) RIA account.

Two advisors debate the financial viability of serving as a fiduciary to small accounts amid DOL's new rules

Larry Steinberg expresses big doubts but Jeff McClure sees advisors wedging in like Ace Hardware amid Home Depot and Lowe's

March 30, 2012 at 6:09 AM

Susan John: It appears we may be on the same page for once. This is just one of those odd circumstances.

As DOL contemplates stiff fiduciary-related penalties on advisors, NAPFA and FPA find rare concord with FSI

The more RIA-focused groups agree with the IBD trade group that holders of smaller IRA accounts will not be able to pay for advice under new rules

March 22, 2012 at 4:07 AM

Brian Hamburger: I think that number [from BCG] is a very conservative and kind number.

FINRA attacks Boston Consulting Group over SRO study

BCG sticks to its guns saying that the double-dip cost of SEC oversight makes any FINRA numbers moot

December 16, 2011 at 7:05 AM

Stan Ehrlich: Why does Schwab want to franchise its brand and potentially put itself in conflict with some of its own RIAs, such as me and many of my peers in NAPFA?

Are Schwab’s independent branches an opportunity or a threat to RIAs?

For RIAs with financially profitable practices that meet their lifestyle needs, I think owning a franchise would take them back a few steps.

December 9, 2011 at 4:03 PM

Mike Byrnes: Another way to grow more quickly is to bring on staff, even if it is at an hourly rate.

NAPFA conference yields valuable nuggets of practice-management and marketing advice

A strategic embrace of sales can build your practice dramatically, was the message NAPFA's practice-management conference held in Brooklyn

November 22, 2011 at 5:45 AM

Brooke Southall: The RIA business needs to be alert to the danger of becoming something uncomfortably similar to the world of banks, brokerages and trust companies that it is trying to reinvent.

Nine threats to the RIA business and how they can be avoided

The fragmented 13,000-firm army is poised for great things but too much focus on expediency could bring its own problems

November 14, 2011 at 5:24 AM

Ron Rhoades: Public policy concerns may well influence the outcome of the Wealthcare vs. UBS litigation.

Legal analysis: The chances that Wealthcare beats UBS or upends the financial planning community

The patent lawsuit could have real consequences for financial advisors

August 11, 2011 at 3:01 PM

Michael Joyce: You could write several articles about the go-to-the-mat battles I've had with trust companies.

Michael Joyce buys a stake in National Advisors Trust after taking a pass 10 years ago

Deal nets access to cheap trust services, a capital investment, the possibility of a dividend and a close-knit group of RIAs

August 4, 2011 at 6:13 AM

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