News, Vision and Voice for
the Advisory Community
advertisement

Articles tagged "One-Man Think Tank"


Ron Rhoades channels his inner Chekhov to envision a scenario arising from a uniform fiduciary standard as per SIFMA's wishes.

A conversation between a wirehouse advisor and a senior citizen who seeks trust
Aunt Bea extracts the true meaning of the word 'fiduciary'

Tuesday 7.26.11
Ron Rhoades:  In essence, the “theory” of FIAs often fails in its execution, due to poor product design and abusive sales practices.

The ABCs of doing due diligence on fixed income annuities
State regulators are stepping up as the SEC, reigned in by Dodd Frank, retreats on regulation of fixed income annuities

Friday 3.18.11
Ron Rhoades: “Sh***y products” – such as the many poor asset-backed securities manufactured in the 2002 to 2008 time frame – would likely not have been manufactured in such great numbers had financial intermediaries been fiduciaries.

One-Man Think Tank: Four red flags in the SEC's fiduciary report
The standard may help right an economy overweighted by finance, but there's a strong chance Wall Street will block it

Tuesday 3.1.11
Ron Rhoades: The SEC will require the support of many professional groups and consumer groups, as well as that of the media and general public, to overcome the ferocious attacks which are certain to follow.

One-Man Think Tank: SEC courage likely to be tested in coming months
Study on fiduciary standard may be the most significant advance for investor protection in a half-century, but real progress will be made rule by rule

Monday 1.24.11
Elizabeth MacBride: Sometimes, we even get to hear the end of the story: an idea that has leaped from the online world to spur action.

Ideas born in the advisory world that flew far in 2010
How one conversation influenced NYC economic policy

Thursday 12.30.10
Ron Rhoades' crystal ball extends to 2025 when Americans finally say 'uncle' to another 15 years of having brokers' interests go first.

Why a swing-and-miss on fiduciary standards will haunt us for decades
An ounce of good sense now could save the U.S. economy a pound of unnecessary pain downstream

Thursday 12.23.10
Ron Rhoades: It appears that relatively few investment strategies, as to the design of portfolios for individual clients, withstand academic scrutiny.

One-Man Think Tank: Would your investment strategy stand up in court?
Advisors should apply due diligence not only to products and suitability, but to their overall approach, says the new ADV form.

Wednesday 11.3.10
Ron Rhoades: Many RIAs rightly question the utility of limited inspections by regulators.

One-Man Think Tank: The SEC's custody examinations leave gaps big enough for Madoff to drive a bus through
How to reassure clients who are seeing Ponzi after Ponzi unveiled

Tuesday 7.27.10

From the RIABiz Directory »

The Industry Sourcebook for RIAs


Browse All Archives


2014


    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2013


    December
    November
    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2012


    December
    November
    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2011


    December
    November
    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2010


    December
    November
    October
    September
    August
    July
    June
    May
    April
    March
    February
    January

2009


    December
    November
    October
    September
    August

Most Emailed Stories »

Jon Stein: We've been working on it for the last six months. We wanted to wait until tax loss harvesting and trust account support was in place.
50 shares
Fidelity and Betterment sign a deal with Steve Lockshin and Marty Bicknell as groomsmen at the altar

Brent Burns: A bond fund is simply a mutual fund that happens to own bonds (or in many cases derivatives) with no obligation to pay back anything.
23 shares
Why unconstrained bond fund skepticism is justified (think 2008, not 2013) and why RIAs should say: None of the above

Jon Jones: I'd gone full-force in terms of how to make myself replaceable; that was my goal in hiring a director of finance, hiring a director of marketing, hiring a director of technology, hiring a COO to basically take over the daily management.
7 shares
How a Deloitte breakaway built a $3.8 billion RIA rapidly in Seattle -- and why those billions moved from Schwab to Fidelity as part of the story

The forecast for the 401(k) business is bright and foggy.
7 shares
What exactly is doable for an RIA in the 401(k) business?

Bill Gross exudes personal accountability -- even amid a few eccentricities.
1 shares
The very good news that RIAs can take away from the whole Bill Gross imbroglio


Get the RIABiz Today
Email Alert »