advisory services

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  State Securities Regulators to Hike Exam Fees for Series 63, 65 and 66

  By Melanie Waddell, AdvisorOne  |  April 17, 2013

  Despite increased costs of maintaining the exams, NASAA says the exam fees have not increased for the past four years.

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  New Hire Roundup: Former COO Nides Returns to Morgan Stanley

  By Marlene Y. Satter, AdvisorOne  |  February 27, 2013

  This week in new hires, Tom Nides rejoined Morgan Stanley, Rob Brown went to United Capital and Vanguard announced several investment management changes.

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  Clients With Benefits: How to Protect Against Would-Be Moochers

  By Mark Tibergien  |  February 25, 2013

  One of the downsides to running a personal service business is that friends and relatives often expect a discount.

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  New Hire Roundup: Putnam Names New GAA Leadership Team

  By Marlene Y. Satter, AdvisorOne  |  February 6, 2013

  This week in new hires, Putnam announced a new leadership team for its global asset allocation organization, and Steve Antonakes became acting deputy director of the Consumer Financial Protection Bureau.

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  Want Differentiation and Success? Advise 401(k) Plan Participants Directly

  By Ric Lager  |  January 22, 2013

  Forget the current focus on building a 401(k) business at the plan level; there is much more satisfaction and career fulfillment providing advice to plan participants.

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  Finding Safe Harbour: How a Small BD Is Doing It Right

  By John Sullivan, AdvisorOne  |  November 20, 2012

  “We don’t think we’re any smarter than anybody else,” David Rosenow humbly began. “It’s just maybe we’re better listeners at times.”

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  Investors Cap Reports Profit on Growing Sales

  By Janet Levaux, AdvisorOne  |  November 14, 2012

  The independent broker-dealer has about 450 advisors with $8 billion in assets under management

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  Envestnet Brings Holistic Wealth Management Platform to Symetra

  By Joyce Hanson, AdvisorOne  |  November 5, 2012

  Envestnet co-founder Jim Lumberg says the ability to see held-away client assets is a business-building opportunity for advisors.

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  Fidelity Checks Its Wealthy Customers’ Pulse

  By Michael S. Fischer  |  October 4, 2012

  The survey covered potential tax increases, sector growth and opportunities in emerging markets.

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  Top Portfolio Products: Franklin Templeton to Buy Stake in K2

  By Marlene Y. Satter, AdvisorOne  |  September 23, 2012

  Plus, Goldman risk-management fund targets RIAs and more product news.