Updated Wednesday, August 20, 2014 as of 8:38 AM ET
Failed Experiment at the SEC
A set of mid-1990s recommendations aimed to reform Wall Street's culture. They didn't, however -- and the real losers were investors.
More in RIAs
Are advisors doing clients a disservice when they prepare to hand over the reins? more »
The pitches are persuasive. Workers who leave jobs with the federal government transferred $10 billion last year out of the Thrift Savings Plan. more »
An FA Insight study finds that RIA firms' strategic plans lack accountability, smart metrics and proactivity. more »
The advocacy organization for personal financial planning announced on Wednesday that Seneca Financial Advisors CEO Joseph Votava Jr. has been elected to serve as its 2015 chair-elect. more »
Described by authorities as a con man, an advisor with a troubled past is ordered to repay $4.2 million in restitution; will serve sentence in a medium-security prison. more »
A former United Bank & Trust wealth management team with more than $350 million in client assets is going independent with the help of Dynasty Financial Partners. more »
After being forced to produce extensive records, the board hopes a judge will similarly order two planners to produce voluminous documentation. more »
Without outside help, many planners are falling short on their own financial goals. A few advisors have a solution. more »
Walk into any wealth management firm, and chances are there won't be any African-American advisors at all. What's causing the diversity gap - and how can the industry fix it? more »
Derek Bruton takes the top job at a firm with historical ties to an advisor that the SEC has barred from the industry. more »
Board pledges not to punish widely followed advisor while they try to resolve fee-only compensation issue; draws accusations of 'arbitrary' treatment. more »
Entrepreneurial advisors are leaving the wirehouses and constructing new business models the industry hasn't seen. But before joining these trailblazers, other advisors should think about what it is they want to change. more »
The financial powerhouse announced it has acquired the business of Capital Planning Advisory Group, a small Yardley, Pa.-based RIA. The team will bring $120 million in client assets. more »
The August Issue is now online!


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