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Articles tagged "One-Man Think Tank"


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Ron Rhoades: Simply put, at the age of 62, I was beginning to feel old.

The story of how Ron Rhoades sold his RIA to (and joined) a local $3.7-billion AUM firm to plan succession and to keep nearly a full professor's schedule

The ageless Kentucky-based advisor and fiduciary advocate is 63, plans to work to 77 and accepts his mortality but he doesn't want to choose between the teaching he loves and advising the clients he cherishes.

May 7, 2021 at 9:56 PM

Ron Rhoades: The S.E.C.’s Regulation BI's attempts to redefine the English language, hence misleading individual investors for all time.

Will the S.E.C. aid and abet fraud in 2019? A fictionalized grilling of Jay Clayton under truth ether reveals the perils

With brokers the special interest, the simple principle of putting client interests first, gets mangled in the wording. But two can play that game so Ron Rhoades fights back with his pen

December 27, 2018 at 8:40 PM

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'

July 26, 2011 at 2:08 PM

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

March 18, 2011 at 1:44 PM

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

March 1, 2011 at 6:09 AM

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

January 24, 2011 at 2:54 PM

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

December 30, 2010 at 3:36 PM

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

December 23, 2010 at 2:53 PM

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.

November 3, 2010 at 6:42 AM

Ron Rhoades: Many RIAs rightly question the utility of limited inspections by regulators.
July 27, 2010 at 1:57 AM

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