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Articles tagged "Neil Simon"


Neal Simon: We decided to put our money where our mouth was and we hired a full-time [recruitment] person.

This MBA chose an RIA, now with $1.4 billion AUM, but as a business model, not as professional choice per se
Neal Simon says that -- Ric Edelman aside -- nobody is plotting expansion like him

Friday 2.14.14
Matt Cooper: I was aggressively criticized by the CEO of what I called a roll-up for describing his firm as a private-equity-backed consolidator/roll-up.

A roll-up exec talks about owning a roll-up and calls out his fellow entrepreneurs to focus on genuine distinctions
There are private-equity backed consolidators and RIA aggregators, and subspecies of each of those, but we can call them all roll-ups

Tuesday 11.13.12
James Carville lent his big presence and Louisiana accent to a small event with large ambitions.

TD Ameritrade's 2012 Elite Advisor Summit gathers $89 billion of RIA assets under one Laguna Beach umbrella
Fresh off a week of D.C. intensity, the annual event crackled with strong opinions and offensive strategies

Friday 6.15.12
Chuck Moran, of the CFB Board of Standards board of directors: “We were looking for a more definitive recognition of financial planning."

GAO study puts insurance agents up for scrutiny as it rejects idea of sweeping RIAs, b-ds, planners into one regulatory pool
A disappointment to those advocating for a financial planning profession, the study details the hodgepodge of regulation without recommending major changes

Wednesday 1.19.11
Tea Partiers such as Michele Bachmann may change the enforcement landscape for investment advisors by putting some agencies on starvation budgets.

The 7 government actions that could reshape the advisory business in 2011
Funding may derail some grand plans, but regulations roll on (and so do tax threats)

Friday 1.7.11
In an interview with Elizabeth MacBride, above, Charles Ferguson says that because Obama blew it, reforming Wall Street will likely take decades.

DC Current: A damning view of financial services from Inside Job's director, Charles Ferguson
Film connects the dots leading to the crisis and lays blame at the doors of some unlikely candidates

Friday 11.5.10
Kristina Fausti: We've entered a new regulatory era that calls for greater transparency and accountability.

How financial reform gives the SEC new bite; plus at least five other things advisors ought to know about the legislation
The new financial world will be constructed mostly out of the public eye, as regulators begin studying 150 issues Congress punted to agencies

Monday 7.26.10
A strong advocate for the fiduciary standard, Frank pulled out a win in the conference committee this afternoon.

Improbable win for fiduciary standard: Congress set to hand SEC power to impose fiduciary duty on broker-dealers
Conference committee agrees on a measure that calls for six-month study and then gives SEC authority to write single set of rules for advisors and brokers

Friday 6.25.10
Sen. Herb Kohl is taking on brokers, life insurers with amendment to regulate financial planners.

Revised amendment aims to heal breaches in advisor community
New oversight for financial planners may be tougher for Senators to vote against because it is seen as pro-consumer

Friday 3.19.10
Kristina Fausti: The legislation adds some consumer protections and oversight of the SEC.

Senate proposal pushes most RIAs one step closer to state regulation
Senate and house bills now both seek to wrest 75% of RIAs away from SEC oversight

Tuesday 3.16.10
Neil Simon: What we are facing... is the possibility of the end of the regulatorily-distinct investment advisory profession

Top RIA lobbyist says insurance foes have been 'more effective' in fiduciary battle but urges patience
Neil Simon: Supporters of a strict fiduciary standard can prevail with an effective end game

Monday 3.1.10

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Most Emailed Stories »

Mike Durbin: You get investment in your business because you prove that you're delivering a return for it. And I feel like we're doing that.
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After years of work to gain parity with Schwab RIA custody, Fidelity is ready to show fruits of its $250 million move to gain an edge

Naureen Hassan's departure from Schwab did not necessitate a replacement nor did she take anyone's place at Morgan Stanley -- unless you want to say she replaced Greg Fleming.
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What exactly to make of Morgan Stanley poaching robo-talent Naureen Hassan from Schwab on the heels of Greg Fleming's departure

 Mark Egan: Holding brokers to a fiduciary standard over the period 2008-2012 would have increased investor returns by as much as 2.73% per annum.
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ETF.com's Dave Nadig [l.] warned that unchecked growth could exacerbate liquidity issues in the high-yield bond market.
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An advertiser's chats from the Inside ETFs event and the Vanguard-versus-the-world chess match they depict

Richard Ketchum professed support for a fiduciary standard,then, in the same speech, opposed the DOL's proposed rule-making, calling it 'problematic.'
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Tick, tick, tick ... FINRA rewrites 'culture,' 'conflicts of interest' and 'ethics' into a farcical 'best interests' code after DOL drops a bomb on its suitability ethos


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