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| Calendar dwindling for action on SRO bill InvestmentNews (blog) Legislation that would establish one or more self-regulatory organizations for investment advisers has not crashed, but its trajectory is stalling. It's not clear when -- or if -- the House Financial Services Committee will vote on the bill. See all stories on this topic » | ||
| Investment Firms Increased Profits, Clients in 2011 -Schwab Survey Wall Street Journal By Thomas Coyle. Despite choppy markets and economic challenges, retail registered investment advisers saw a 14% median rise in profits in 2011--mainly because the firms added more customers. That's according to Charles Schwab Corp.'s (SCHW) 2012 ... See all stories on this topic » | ||
| Advisers looking harder at social media, pay-to-play compliance InvestmentNews About 80% of advisory firms now have written policies about social networking, compared with 64% last year and 43% in 2010, a recent survey of 555 compliance professionals found. See all stories on this topic » | ||
| ON THE MOVE-Beverly Hills Wealth adds Fass in California Reuters July 17 (Reuters) - Beverly Hills Wealth Management, aboutique investment advisory firm catering to the rich, hastapped a veteran adviser to open a new division for the firmfocusing on public agency. See all stories on this topic » | ||
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| Older investors' complaints deserve -- and receive -- special scrutiny from ... RIABiz To paraphrase Orwell, all complaints are equal but some complaints are more equal than others — namely complaints by elderly investors against registered investment advisers and other financial professionals. While securities regulators' mission is to ... See all stories on this topic » | ||
| MD Physician Services reorients fund investment advisors to drive increased ... DigitalJournal.com (press release) OTTAWA, July 17, 2012 /CNW/ - The Board of Directors of MD Physician Services Inc. (MDPSI) has announced realignment of fund investment advisor responsibilities for several funds and investment pools. These changes have been undertaken as part of ... See all stories on this topic » | ||
| Eton Advisors raises $82M Triangle Business Journal Eton was formed in 2009 by investment advisor Robert Mallarnee, whose clients are high net worth individuals and family offices. He told the U.S. Securities and Exchange Commission U.S. Securities and Exchange Commission Latest from The Business ... See all stories on this topic » | ||
| TD Ameritrade Institutional Draws Breakaway Brokers at Record Pace DigitalJournal.com (press release) Jersey City, N.J. (PRWEB) July 17, 2012 TD Ameritrade Institutional attracted a record-breaking 120 breakaway brokers to its platform for independent registered investment advisors (RIAs) in the third quarter of fiscal 2012, a nearly 50 percent ... See all stories on this topic » | ||
| CFTC Extends Compliance Date Regarding Rescission of CPO/CTA ... JD Supra (press release) This no-action relief applies to operators of both registered investment companies ("RICs") and private funds and was requested by the Managed Funds Association, the Investment Adviser Association, the Alternative Investment Management Association and ... See all stories on this topic » | ||
| GM pension decision looms The Detroit News Financial planners and investment advisers are running radio spots, putting up special websites and running in-person and online seminars to brief GM retirees on the options. David Kudla, CEO and chief investment strategist of Mainstay Capital ... See all stories on this topic » | ||
| 'Alternative assets can provide income replacement therapy' FT Adviser Advisers on the hunt for income should look at multi-manager funds that invest in alternative assets, Thames River's Rob Burdett has said. See all stories on this topic » | ||
| BlackRock Second-Quarter Net Income Falls 11% on Assets Bloomberg BlackRock's investment advisory fees fell 5.2 percent to $2 billion compared with a year earlier. Performance fees, earned by funds for beating certain benchmarks, decreased 18 percent to $41 million. BlackRock's revenue fell 5 percent from a year ... See all stories on this topic » | ||
| The Life Aquatic: Anchors, Pilot Fishing And Pre-Sounding Mondaq News Alerts (registration) The Social Media Experiment: Challenges For Broker-Dealers And Investment Advisers (Morrison & Foerster LLP) · Court Rules Bank's Security Procedures Were Not Commercially Reasonable (Day Pitney LLP) · Navigating a Consumer Financial Protection ... See all stories on this topic » | ||
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| ThinkStrategy's Kapur Indicted by for Securities Fraud Bloomberg Kapur, ThinkStrategy's sole managing director, was charged with securities fraud, investment adviser fraud and wire fraud in an indictment unsealed today by prosecutors in the office of Manhattan U.S. Attorney Preet Bharara. Kapur "deceived investors ... See all stories on this topic » | ||
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| Mighty River Power Share Seminar Disrupted at Casino Scoop.co.nz (press release) Mighty River People's Power have disrupted a seminar about the privatisation of Mighty River Power. The seminar was hosted today by 'investment advisers' Forsyth Barr at the Hamilton Casino's Rebo Bar. See all stories on this topic » | ||
| Bonds get preliminary OK for Wells Fargo Advisors expansion STLtoday.com A state board gave preliminary approval for $4.1 million in bonds for investment firm Wells Fargo Advisors to renovate and. See all stories on this topic » | ||
| Alberto Vilar to remain in prison Vail Daily News Sullivan praised Vilar for his "tremendous generosity" but chided him for taking advantage of clients in his once-flourishing Amerindo Investment Advisors. "People need to be able to trust their financial advisers ... yet that trust was abused ... See all stories on this topic » | ||
| Bonds get preliminary OK for Wells Fargo Advisors expansion [St. Louis Post ... Equities.com July 17--A state board gave preliminary approval for $4.1 million in bonds for investment firm Wells Fargo Advisors to renovate and expand its downtown St. Louis headquarters. Wells Fargo Advisors' planned $33 million expansion would pave the way for ... See all stories on this topic » | ||
| Trade of the month: the impact of RDR on structured products Risk.net Wider questions of whether advisers can reasonably be expected to provide a proper level of service in today's complex investment world and regulatory requirements are beyond the scope of this article. The stipulation that independent advisers must ... See all stories on this topic » | ||
| Photograph by: Handout , Crocs Montreal Gazette The current outlook, however, has investment advisers pondering a c-word of a different sort: Comeback. Flipping the switch on its former "ugly can be beautiful" slogan, the Crocs brand is finding renewed public favour with a collection of shoes that ... See all stories on this topic » | ||
| Invesco and Invesco Van Kampen Closed-End Funds Conduct Annual Meetings ... PR Newswire (press release) Invesco Advisers, Inc. is an investment adviser; it provides investment advisory services to individual and institutional clients and does not sell securities. Invesco Distributors, Inc. is the U.S. distributor for Invesco Ltd.'s retail mutual funds ... See all stories on this topic » | ||
| BlackRock's iShares bets cheap isn't better for ETFs Reuters Similarly, Ronald Colson, president of Lakewood, Colorado-based Colson Financial Group Inc, a registered investment adviser with $18 million in assets under management, said he switched out of a handful of iShares ETFs in January. "If Vanguard has the ... See all stories on this topic » | ||
| 'Game Changer' For Gold In UK As New Regulation Favours Gold FXstreet.com It was also due to the fact that gold bullion was not lucrative for financial advisers and financial institutions such as stockbrokers and banks. Gold bullion is bought as a long term investment or store of value and as financial insurance. It is ... See all stories on this topic » | ||
| Genworth Wealth Management Expands Investment Platform DigitalJournal.com (press release) PLEASANT HILL, Calif., July 17, 2012 /PRNewswire/ -- Genworth Financial Wealth Management, Inc., a subsidiary of Genworth Financial, Inc. (NYSE: GNW), today announced it has expanded its investment platform for independent financial advisors in ... See all stories on this topic » | ||
| Lincoln Trust Acquires Benefit Solutions Corp. DigitalJournal.com (press release) "They have created a unique managed solution serving the independent investment advisor representative and broker dealer community and one we intend to invest in to expand further." New Markets, New Opportunities Benefit Solutions provides an array of ... See all stories on this topic » | ||
| OppenheimerFunds to Acquire SteelPath, a Leading Edge MLP Investment ... DigitalJournal.com (press release) UBS Investment Bank acted as financial advisor to OppenheimerFunds, Inc. and Deutsche Bank Securities Inc. acted as financial advisor to SteelPath. Willkie Farr & Gallagher LLP acted as legal advisor to OppenheimerFunds, Inc. and Ropes & Gray LLP ... See all stories on this topic » | ||
| Are 'defensive equity funds' the right play? MarketWatch "As the baby boomer generation moves from wealth maximization to wealth preservation, many of these alternative investment solutions may enable financial advisers to better meet their clients' investment objectives," AQR said in its release. Read the ... See all stories on this topic » | ||
| Commercial Paper & Money Market Professionals Head to NY to Attend iiBIG's ... MarketWatch (press release) ... Brown LLP, MetLife Investments, Middleton Dickinson Capital Management, Moody's Investors Service, Natixis, NORD/LB, PB Capital, PNC, PNC Financial Services Group, Rabobank International, RBS Global Banking & Markets, Reconnaissance Advisers ... See all stories on this topic » | ||
| Pacholder High Yield Fund Announces Monthly Distribution MarketWatch (press release) For more information visit us at www.pacholder.com , or call 1-877-217-9502. The Fund's investment adviser is J.P. Morgan Investment Management Inc., an investment management firm registered with the SEC under the Investment Advisers Act of 1940. See all stories on this topic » | ||
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| P&G CONSULTING Financial Advisers and 2 Dow Movers To Notice Wall St. Cheat Sheet ... financial and communications advisers to help deal with its activist investor Bill Ackman, as he increases his demands to sack executives or assets, report sources. Last week, Ackman's Pershing Square made a massive investment into the company and ... See all stories on this topic » | ||
| NY City pension funds return drops to 1.7 pct Reuters The Bureau of Asset Management, which helps the pension funds select advisers and make investments, has 35 investment professionals, a 59 percent increase from several years ago. Notable investment decisions taken this year include committing to 12 ... See all stories on this topic » | ||
| Recent Noteworthy Institutional 5% Ownership Filings In Basic Materials And ... Seeking Alpha The contents of this article do not take into consideration your individual investment objectives so consult with your own financial adviser before making an investment decision. Investing includes certain risks including loss of principal. This ... See all stories on this topic » |
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| Multi Family Office Relationship Manager | Selby Jennings ... By jennings ... WEALTH MANAGEMENT; GENEVA; ZURICH; SWITZERLAND; MFO; MULTI FAMILY OFFICE; HNWI; UHNW; HIGH NET WORTH; ADVISORY; RELATIONSHIP MANAGER / MANAGEMENT; INVESTMENT ADVISOR; SELBY JENNINGS ... Selby Jennings : Recruitment... | ||
| Investment Advisor Sentenced to 5 Years in Prison for $2 Million Ponzi Investment Advisor Sentenced to 5 Years in Prison for $2 Million Ponzi Scheme. Posted: July 17, 2012 @ 5:58 pm - Ponzi Tracker. A Florida man who operated a Ponzi scheme that defrauded investors out of $2 million was sentenced to serve ... Guiliano Law Firm | Securities... | ||
| Susquehanna Independent Weekender | independentweekender ... By Independent Weekender Editor The treasurer said that with the proposed investment adviser contract with Brinker Capital, the county would be relinquishing its fiduciary responsibility over the fund. Benedict said the contract would allow to firm to "move money to suit them" ... Susquehanna Independent Weekender | ||
| RIA Central Digests for 07/18/2012 By Curator Custodians want to help investors by offering online services, but they don't want to upset the advisors with whom they work. Read the Investment News story below that describes how firms are trying to strike that balance. And, an advisor who ... RIA Central |
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| Note to investment advisers: women are your future - Investing and ... Note to investment advisers: women are your future. NEW YORK (Reuters) – When Rachel Smith met with her first financial adviser, he talked to her like she was ... www.investingandfinance.net/note-to-investment-advisers-wo... | ||
| Social Media Policies Everywhere in Among Investment Advisors The Investment Adviser Association, ACA Compliance Group and Old Mutual Asset Management released the 2012 Investment Management Compliance ... socialmediabanking.blogspot.com/.../social-media-policies-eve... | ||
| Ms. Donna M. Brown - Gateway Investment Advisers LLC ... Legal Directory Information about from the Cincinnati Bar Association. An easy to use tool to find Legal help in your area. www.cincybar.org/news-resources/legal-directory.../20660 |
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