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Articles tagged "Stephen Winks"


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Don Trone: You've seen the old-school testing with the wires out of the head, but today it's wireless and it looks like a swim cap and you don't even need the goop to keep it on.

Claiming DOL rule has no handle on truth, Don Trone crafts lie detector test to assess RIA brains

The Neuro-Fiduciary & Governance Psychometric Instrument involves an EEG, an interview and six colleagues willing to vouch for your true fiduciary bona fides

December 24, 2017 at 5:23 AM

Tom Dorsey specializes in point and figure charting, which was invented in the 1890s by Charles Henry Dow, founder of the Wall Street Journal and Dow Jones industrial average.

Virtus bites bullets with F-Squared firing, Dorsey Wright hiring and an admission that it'll likely pay a $5-million-plus SEC settlement

The Hartford fund company set aside $5.2 million, warned it may need more and is replacing interstellar algorithms with a Virginian's figurings

May 21, 2015 at 6:13 PM

Rick Meigs: It seems like a big pot of assets to be walking away from.

Merrill Lynch pulls advisors from a $2.9-billion business -- and leaves the light on for RIAs

The Bank of America subsidiary sees too much peril in the public-pension business and RIAs like John Beirne smell opportunity

February 5, 2013 at 4:15 PM

Phil Chiricotti: The DOL went off the reservation...They backed off and damaged their credibility.

What to make of DOL's backtrack after John Kerry, Fidelity Investments and the rest of the riled 401(k) industry cried foul

The policy reversal on on self-directed accounts is a win for white-collar workers but the agency's mandating-by-bulletin was equally troubling to some observers

August 1, 2012 at 6:10 AM

Michael Hull: There's no question we were going to be together.

Brothers reunite as a $3.8 billion ex-Graystone team forms its own RIA

Morgan Stanley Smith Barney's elite consulting unit pushed out the older brother based on alleged wrongdoing and his younger brother spearheaded a breakaway to rejoin him

July 11, 2012 at 3:27 PM

Debbie Pritchard: Most of the advisors we're working with are all talking to us about becoming 3(38)s.

How Schwab is gearing up its RIAs to fight for 401(k) assets

The San Francisco custodian's deal with fi360 will help advisors meet increasing demand from employers that their advisors be fiduciaries

May 16, 2012 at 3:17 PM

E. F. Hutton may need to listen harder than ever to become the fifth wirehouse in an RIA world.

What the reincarnation of E.F. Hutton says about the pace at which RIA business is moving

It's the latest in a series of recent ventures marked by infectious enthusiasm by founders -- and few details about their business plans

April 24, 2012 at 6:18 AM

Michael Francis: It's my belief that they shouldn't be fiduciaries because they can't be according to the way the law is set up.

Merrill Lynch jumps on the fiduciary bandwagon in retirement plans but critics see lingering conflicts

Morgan Stanley, UBS and Wells Fargo Advisors already went this route but can wirehouses really deliver strict fiduciary care?

April 3, 2012 at 3:59 AM

Jim Pupillo: I looked at several vendor platforms to support us if we went completely independent.

HighTower stages its first raid of Morgan Stanley Smith Barney's elite consulting unit

A famous loyalist, Jim Pupillo crusaded for years to bring about change internally at Smith Barney before finally defecting

January 24, 2012 at 5:52 AM

Eugene Steuerle explains why it's often better to spend your 401(k) for a year or two before delving into Social Security
July 20, 2010 at 3:43 AM

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