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| Piedmont Investment Advisors, LLC Through its Affiliate Militello Capital has ... Virtual-Strategy Magazine Piedmont Investment Advisors, LLC through its affiliate Militello Capital has formed a Venture Capital Fund to fill the void and bridge the dislocation between idle investor capital and great ideas. Leesburg, VA (PRWEB) August 01, 2012. Piedmont Investment ... See all stories on this topic » | ||
| Bernie Madoff Is Laughing: Street Whispers TheStreet.com Stock quotes in this article:BAC, JPM, WFC · Tweet. NEW YORK (TheStreet) -- Bernie Madoff must be chuckling in prison as he watches attempts to beef-up supervision of investment advisers go down in flames thanks to an all-out industry lobbying effort. See all stories on this topic » | ||
| How top performers are going for the gold MarketWatch That's what your chosen investment adviser should be doing every month, of course. But it's especially worth asking the question this August, as the world's attention is focused on the Olympic Games in London. And, sure enough, that's exactly what the ... See all stories on this topic » | ||
| SEC user fee bill faces steeper climb than SRO measure InvestmentNews (blog) Many investment advisers cheered last week, as legislation was introduced on Capitol Hill that would keep them under the purview of the Securities and Exchange Commission. Even better for advisers, the measure had the effect of halting a bill that would ... See all stories on this topic » | ||
| Are we in a Kids' Market? MarketWatch CHAPEL HILL, N.C. (MarketWatch) — Is it a "Kids' Market"? That's an important question to ask any time, since the answer has profound implications for whether you should seek out an older or younger investment adviser. But right now there is an additional ... See all stories on this topic » | ||
| FSA under fire over FSCS levy proposals FT Adviser A 74-page consultation document, FSCS Funding Model Review, proposed basing claims thresholds on affordability instead of income and moving the limit on what investment advisers can be charged from £100m to £150m. Under the proposals, the life and ... See all stories on this topic » | ||
| Independent Registered Investment Advisory Wilbanks Smith & Thomas Selects ... DigitalJournal.com (press release) 1, 2012 /PRNewswire/ -- Wilbanks Smith & Thomas (WST), an independent registered investment advisory firm managing more than $2.0 billion in assets, has selected S&P Dow Jones Indices to calculate the WST Dynamic Portfolio Manager – Core Index ... See all stories on this topic » | ||
| Advisors Asset Management's Act-Navellier/Dial High Income Opportunities ... DigitalJournal.com (press release) 1, 2012 /PRNewswire/ -- Advisors Asset Management (AAM), a leading investment solutions provider specializing in investment solutions and support services that financial advisors can leverage to expand their businesses and help meet their clients' needs, ... See all stories on this topic » | ||
| Symetra snags Hartford, Sun Life VA vets InvestmentNews Ms. Bird is a veteran of the registered investment advisory world, joining from OJM Group, where she was a vice president of business development and portfolio management. In her new post, she will be Symetra's senior investment specialist for Indiana, ... See all stories on this topic » | ||
| Gene T. Offredi Has Recently Been Recognized by Strathmore's Who's Who ... PR.com (press release) Gene T. Offredi founded the investment advice firm, Summit Investor Coach, LLC and is its sole owner. His financial and investment coaching empowers individuals and businesses to maintain and build wealth. Mr. Offredi is licensed as an Investment Adviser ... See all stories on this topic » | ||
| Twitter moves to wall off more of the Internet MSN Money There are also other features such as compliance for registered investment advisers (RIAs) and analysts, and the ability to send messages elsewhere, including Facebook and LinkedIn (LNKD). Twitter has had a history of closing off its partners as it continues ... See all stories on this topic » | ||
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| Dropping the Ball in AML Compliance Testing JD Supra (press release) by Warner Norcross & Judd - Broker-Dealer/Investment Adviser Group on 7/31/2012 Contact · Tweet. [author: Toni Kujawa]. Another instructive AML disciplinary action reveals more of FINRA's expectations for the independent testing process for AML ... See all stories on this topic » | ||
| Capital Guardian, LLC Introduces President of Wealth Management Scott ... DigitalJournal.com (press release) Investment Advisory Services offered through Capital Guardian Wealth Management, an SEC registered Investment Advisor. Securities Products are not FDIC insured, are not bank guaranteed, and may lose value. Contact: Scott Chaisson (786) 594-4412 ... See all stories on this topic » | ||
| Behringer Harvard and Prospect Capital Management Announce Joint Venture ... DigitalJournal.com (press release) Through this joint venture, both firms will leverage their expertise in co-advisor roles. Behringer Harvard will lead capital-raising for such alternative investment programs through its relationships with a wide network of independent financial advisors. Prospect ... See all stories on this topic » | ||
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| IFA Centre: FSA predetermined Arch Cru mis-selling FT Adviser In her submission to the FSA's consultation on the planned £110m consumer redress scheme, which is to be funded by advisers who sold Arch Cru funds, Ms Cardy challenged the mis-selling figures published by the regulator. Announcing the redress scheme in June, the FSA claimed "reasonably competent" IFAs should have been aware of the high risk nature of some investments which backed Arch Cru, which made the funds high risk investments. The regulator also said it had uncovered evidence of "widespread ... See all stories on this topic » | ||
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| Passive investing 'on the rise' Fundsnet Defaqto suggested this shift is set to benefit financial advisers, who will have a wider choice of low-cost investment solutions once the Retail Distribution Review is implemented. The term passive investment refers to a strategy that involves limited ongoing ... See all stories on this topic » | ||
| Yorkville to invest $5m in Galten Biodiesel Globes Yorkville Advisers LLC will invest up to $5 million in Galten Biodiesel Ltd. (TASE: GLTN) through a Standby Equity Purchase Agreement (SEPA) by Yorkville unit YA Global Investments LP. Galten is developing biodiesel from vegetable oil produced by ... See all stories on this topic » | ||
| Eaton Vance Municipal Bond Funds Declare Monthly Distributions DigitalJournal.com (press release) BOSTON, July 31, 2012 /PRNewswire/ -- Eaton Vance Management, the Boston-based investment adviser, today announced the monthly distributions declared on the common shares of eleven of its closed-end municipal bond funds (the "Funds"). The record ... See all stories on this topic » | ||
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| Asian advisers wary on property but positive on regional stocks and gold, survey ... The Asset Almost a third (28.3%) of financial advisers operating in Asia predict that property is the investment sector most likely to head into bubble territory, according to the latest International Adviser Confidence Barometer conducted by Royal Skandia, the offshore ... See all stories on this topic » | ||
| LDC backs MBO with help of Mids advisers Insider Media Private equity firm LDC's Midlands team has invested £10.5m for a significant stake in the management buyout of Yorkshire manufacturer Dale Power Solutions. A raft of advisers in the region worked on the deal. The transaction was completed with support ... See all stories on this topic » | ||
| IFAs must keep low-value clients FT Adviser IFAs must keep low-value clients. The IFA Centre has warned against advisers ditching "low-value clients" in the aftermath of the retail distribution review. By Marc Shoffman | Published 09:45 | comments ... Andrew Reeves, director of Northamptonshire-based the Investment Coach, said: "We are definitely having to segment clients and are working on an online proposition. Whoever gets the online solution done in the most logical and coherent fashion will win a lot of business." Mr Reeves said there was a gap in the ... See all stories on this topic » | ||
| Financial Services Legislative And Regulatory Update -- July 30, 2012 JD Supra (press release) Waters Introduces Investment Adviser User Fee Bill On July 25th, Representative Maxine Waters (D-CA) introduced the Investment Adviser Examination Improvement Act of 2012 (H.R. 6204) which would enable the SEC to impose user fees on investment ... See all stories on this topic » | ||
| Zacks.com featured expert Kevin Matras highlights: Forward Air Corporation ... DigitalJournal.com (press release) Disclosure: Officers, directors and/or employees of Zacks Investment Research may own or have sold short securities and/or hold long and/or short positions in options that are mentioned in this material. An affiliated investment advisory firm may own or have ... See all stories on this topic » | ||
| Tintina Engages Cache Communications DigitalJournal.com (press release) Cache Communications' mandate is to increase investor awareness and enhance company branding through its established relationships with investment professionals and investment advisors. Cache Communications has been engaged for an initial term of ... See all stories on this topic » | ||
| Investments considered The News Journal Language was inserted into the 2013 budget to essentially reign in Flowers, keeping him from hiring additional investment advisers and allowing the policy board to temporarily extend contracts without a bidding process. Gov. Jack Markell's office has ... See all stories on this topic » | ||
| Funds that are gold medal contenders MarketWatch But in a very real sense, we're always competing in the investment equivalent of those games: Our perennial challenge is to find those investments that stand the best chance of putting us at the head of the pack without taking unreasonable risk. We might have guessed that the top-performing advisers — over both the long term as well as the recent past — would be making bold bets among the small-cap stocks that don't get as much attention on Wall Street. That's usually where advisers go hunting for values when ... See all stories on this topic » | ||
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| The Investment Industry Association of Canada Responds to Completion of ... DigitalJournal.com (press release) TORONTO, July 31, 2012 /CNW/ - With the deal to acquire TMX by Maple Group now finalized, the Investment Industry Association of Canada (the IIAC) today announced the formation of the IIAC TMX Group Advisory Committee to monitor the implementation ... See all stories on this topic » | ||
| Advizent pulls off coup, lands Jack Bogle as board chairman InvestmentNews Advizent is working on finalizing standards for membership, but one requirement will be that members are "true fiduciaries in the [Investment Advisers Act of 1940] sense," Mr. Goldman said, and not a redefined standard under the Dodd-Frank law. The group ... See all stories on this topic » | ||
| Oldsters Say IRA-Based Ponzi Rolled Them Courthouse News Service The fraud promoters frequently emphasized the size and experience of the custodians as evidence of their credibility as investment advisers. "The fraud promoters invested the money deposited by plaintiffs and class members in their SDIRAs in 'investments' ... See all stories on this topic » | ||
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| LPL profit tumbles 13 percent, shares dive Reuters President Robert Moore stressed that LPL is making acquisitions and investments to boost growth later. This year LPL paid about $38 million to buy Fortigent LLC, a firm that provides investment management and consulting service to advisers who serve high ... See all stories on this topic » |
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| What Plan Fiduciaries Should Know About The Department Of Labor ... By Rob Thomas Employers should not be offering investment strategies. Most plans have a registered financial advisor or investment advisor available – here is how to use the resource. Executive Summary. Are most retirement plan participants more likely to ... Social(k) Blog | ||
| Ex-RIA Chief: 'How I Learned More In A Month As A Client Than In ... By Curator Home of the Registered Investment Advisor. Home · Compliance · Practice Management · Breakaways · Marketing · Risk Management · Digests · Breakaway Digests · Compliance Digests · Investment Strategies Digests · Practice Management ... RIA Central |
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| FINANCIAL PLANNING COALITION SUPPORTS INTRODUCTION ... The bill is a credible alternative to the Investment Adviser Oversight Act of 2012 ( H.R. 4624), introduced in April, which would impose higher costs and a ... www.cfp.net/media/release.asp?Print=1&id=360 | ||
| Bachus aide says investment adviser bill will stay put unless ... Fundamental differences need to be reconciled on legislation that would step up examinations of investment advisers before the bill will advance, according to ... www.smartbrief.com/servlet/rdrc?u...B300...i... | ||
| Full Text of H.R. 6204: To amend the Investment Advisers Act of ... H.R. 6204: To amend the Investment Advisers Act of 1940 to require certain investment advisers to pay fees to help cover the costs of inspecting and examining ... www.govtrack.us/congress/bills/112/hr6204/text | ||
| FINRA Executive VP Sees "a lot of Agreement" Over SRO Model for ... Selman's comments are in reference to a bill originating in the House Financial Services Committee that would place Investment Advisers under SRO oversight. www.icemiller.com/publication_detail/id/1911/index.aspx | ||
| Investment Management » Authors Jeffrey Skinner focuses his practice on securities offerings, investment companies, investment partnerships and investment advisers. Mr. Skinner has extensive ... blogs.kilpatricktownsend.com/investmentmanagement/?page... |
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