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Articles tagged "FPA"


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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

Duane Thompson says FINRA is keener than ever to regulate RIAs considering the waves of money flowing from the B-D to the fee-only side.

RIAs and B-Ds don't mix, says Duane Thompson at MarketCounsel Summit 2011

TD's Tom Bradley delivers a caffeine jolt of good news about the growth of the RIA channel

October 18, 2011 at 3:25 AM

Brian Hamburger, founder of MarketCounsel's Member Summit 2011, expects 200 advisors with between $100 million and $1 billion in assets

MarketCounsel, CFDD, T3 and Schwab vie for advisors to attend their fall conferences

As competition for RIA time and money grows, many events are catering to more defined niches

September 26, 2011 at 4:03 AM

Frank Noto saw no sun in San Diego as the FPA conference warmed to its task.

An advertiser's-eye view from among the booths of the FPA convention's exhibit hall

Technology companies, Chubb, TD Ameritrade and BrightScope get special notice

September 18, 2011 at 1:19 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

Neel Kashkari: The TARP chief believes that unchecked government entitlements could lead to bankruptcy.

Eavesdropping on a well-kept secret: the FPA NorCal event

Neel Kashkari, Michael Lewis, Bob Veres and a few others took a local event to a new level

June 7, 2011 at 2:29 PM

Kevin Keller: We do not want to be a regulator. Our role is setting standards, and our role is most appropriate as it is.

(Updated) What’s behind the CFP Board’s big fee increase

'Category-killer' is in the eviable position of controlling a mark that many advisors think is essential

April 14, 2011 at 1:14 PM

Timothy Welsh: The latest mobile financial planning applications from Finance Logix and innovative email marketing tools from Boulevard R were among the coolest developments at the conference.
March 7, 2011 at 1:26 PM

Brian Hamburger: The SEC is lining up the facts so that later the conclusion becomes obvious (it can’t regulate advisors with current resources). ... It’s genius, what they’re looking to do, but it’s incredibly transparent.

The RIABiz list of winners and losers in the wake of the SEC's fiduciary study

The race is on as laggards adapt to new vision of the future

January 28, 2011 at 1:17 PM

Mary Schapiro:A fiduciary owes its customers and clients more than mere honesty and good faith alone.

How 10 top groups define 'fiduciary'

Obama administration, SEC, FINRA, FPA, fi360, U.S. Supreme Court and SIFMA raise fiduciary bar to different heights

January 21, 2011 at 4:24 AM

Marty Durbin: We said, ‘Never again do we want our motives called into question, and here’s how we’re going to do that.’

First Command's Marty Durbin retires -- well after his scandalized IBD went RIA to rehab its image

A third of of the Texas-based firm's reps had to leave but it now has $18 billion of AUM

December 2, 2010 at 5:48 AM

Tim Welsh: As the sun sets and the temperature moves from comfortable to sublime, I start searching real estate listings and help wanted ads on the Blackberry.
December 1, 2010 at 4:58 AM

Paul Auslander: As an umbrella for members with many business models, the FPA is in a strong position in an environment in which the different models are merging. “The targeted groups are the ones at peril, not us.”

As state regulatory, tax battles loom, FPA is establishing statewide organizations to counter threat

New president-elect sees a big change among broker-dealers on fiduciary issue: 'Sometimes I walk out thinking I've been in a Kumbaya situation'

November 10, 2010 at 4:43 AM

Ready to blog after uploading podcasts: Chris Hall (left) coaches students Kimberly Curtis, CFP, and Gary Klaben, ChFC, at FPA pre-conference Web 2.0 Boot Camp.
October 12, 2010 at 5:48 AM

David Canter: One solution for broker-dealers looking to provide financial planning services in a fiduciary world: Fidelity's WealthCentral platform.

How the FPA's national conference is nudging large firms toward fiduciary care

Merrill Lynch, Morgan Stanley, MetLife and others come as leopards looking to change their spots

October 11, 2010 at 4:45 AM

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