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Advisors Seek Simpler Annuities, Education

Wednesday, 17 March 2010
The retirement guarantees provided by annuities are more important to investors than ever, advisors say, even as many advisors still avoid using them in clients' portfolios.

More Advisors Weighing In On Health, Diet

Wednesday, 17 March 2010
More financial advisors are talking to clients about pounds as well as portfolios.

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New Regs Needed For Financial Planners, Coalition Says

Wednesday, 10 March 2010
The Financial Planning Coalition is pushing for a law that would require anyone calling themselves a financial planner to be SEC registered and meet certain ethical and educational standards.

Frontline News

March 2010 issue
Frontline News

Advisors Winning Clients—And Employees

Friday, 29 January 2010
Independent advisory firms are winning new employees from Wall Street wirehouses: experienced brokers who like the RIA model but don't want to run a business.

Goldman To Leave Fidelity

Wednesday, 27 January 2010
Charles Goldman, who joined Fidelity about a year ago after leaving arch rival Schwab Institutional, is leaving the company at the end of March, according to a company spokesman.

Schwab Helps More Brokers Go Independent

Monday, 25 January 2010
Schwab announced today that it helped a record number of brokers go independent in 2009.

Fidelity Recruits 191 Brokers In '09

Tuesday, 19 January 2010
Apparently benefiting from Wall Street’s troubles, Fidelity Investments said today it helped a record number of brokers go independent in 2009.

Many Advisors Not Subject To Audits

Tuesday, 05 January 2010
A new rule requiring some RIAs to undergo annual surprise audits may help stem the kind of malfeasance con artist Bernard Madoff has come to represent. But many RIAs won't be subject to them.

Ponzi Scheme Lawsuit Brought Against Schwab

Wednesday, 16 December 2009
A class-action lawsuit in South Carolina alleges that Charles Schwab & Co. is liable for its role in a Ponzi scheme because it was the broker-dealer for the victims of the scheme.

Citi Soon Moving Advisors To Fee Model

Tuesday, 08 December 2009
The change in strategy for Citigroup Inc.'s wealth management group will start to get reflected in advisors' paychecks next month.

Extending Fiduciary Standards Is No Panacea

Monday, 07 December 2009
Headhunter Danny Sarch has a simple reminder for those who want to make brokers adhere to fiduciary standards of service for the sake of protecting consumers. "Madoff was an RIA," he said.

Bridging The Chasm To Independence

By Edward K. Riley - Friday, 04 December 2009
Why affiliating with a broker-dealer makes sense for some advisors who want to go independent.

Teams Complicate, Facilitate Broker Moves

Wednesday, 02 December 2009
The team structure is nothing new to Wall Street brokerages. Nor is the idea that it can make it harder for restless advisors to break away, and take clients with them.

Frontline News

December 2009 issue

Awareness Fuels Interest In Independence

Saturday, 21 November 2009
Educating brokers about the independentfinancial advisor model may be the key to growth for custodians, who safeguardclient assets for independent advisors.

Schwab Adds More Breakaway Brokers

Thursday, 05 November 2009
Charles Schwab added 126 new breakaway brokers by the end of the third quarter.

Schwab To Unveil Eight Commission-Free ETFs

Monday, 02 November 2009
In a move that could change the competitive dynamics of the ETF universe, Charles Schwab is introducing eight new ETFs with razor-thin expense ratios and commission-free trading.

Baird Hires Ex-Morgan Stanley Officer

Monday, 02 November 2009
Denise Wypiszenski, formerly chief operating officer for Morgan Stanley Smith Barney's western U.S. region, has joined Baird as COO of its wealth management group.

Frontline News

November 2009 issue
Frontline News


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Managing Retirement Income: Part III

An investment in stocks of companies that provide both high- and growing-dividend income can benefit a retirement portfolio undergoing the duress of withdrawals.

Overlooked Lending

Small business owners remain caught in a credit squeeze. Here's how advisors may be able to be able to help such clients.

Getting Technical

Few financial advisors go into business because they love spending time thinking about their back-office and technology, but often find themselves dealing with too many back-office distractions. Yet streamlining your practice doesn't have to be difficult.

A New Plan

A client with a need for income had her retirement assets slashed more than 40% to $500,000 as a result of the 2008 market crash. Here's how one advisor helped.

Managing Retirement Income: Part II

Some retirees don't realize that their spending plans are too simple—and flawed. An "endowment" spending policy may be a better choice.

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