California

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  Bernie Clark: The 2013 IA 25 Extended Profile

  By James J. Green, AdvisorOne  |  May 20, 2013

  You could argue that the leader of Schwab Advisor Services is influential every year, owing to Schwab’s position as the largest by far of the RIA custodians measured by number of advisors and assets under management.

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  SCF Lures Walnut Street Team of 4 Advisors

  By Janet Levaux, AdvisorOne  |  May 17, 2013

  The move puts the Fresno-based independent broker-dealer at more than $1 billion in affilated client assets and 140 advisors.

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  The Alliance for RIAs (aRIA) Study Group: The 2013 IA 25 Extended Profile

  By Joyce Hanson, AdvisorOne  |  May 17, 2013

  Go to any conference where registered investment advisors meet, and it’s clear from the buzz in the room that RIAs like to talk.

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  SEC, FINRA Enforcement Roundup: Husband and Wife Divert Funds to Buy Home

  By Marlene Y. Satter, AdvisorOne  |  May 16, 2013

  The SEC filed charges against a husband and wife, who are executives of China-based RINO International Corp., and FINRA fined and censured Deutsche Bank Securities for reporting failures.

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  Richard Ketchum: The 2013 IA 25 Extended Profile

  By Melanie Waddell, AdvisorOne  |  May 14, 2013

  FINRA CEO Ketchum says that the regulator continues to believe current levels of advisor oversight and exams are "unacceptable and a risk to investors."

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  Savant Capital Enters Online Planning Space

  By John Sullivan, AdvisorOne  |  May 13, 2013

  Does online advice present a competitive threat for advisors or a competitive edge? Savant Capital Management is betting on the latter.

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  Advisors Mulling a Move Should Check the Elephant in the Room

  By Gil Weinreich, AdvisorOne  |  May 10, 2013

  Conversations about career transitions tend to focus on the advantages of making a move while ignoring the risks of moving, Cetera says.

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  SEC, FINRA: Beware Pension, Settlement Income Stream Deals

  By Melanie Waddell, AdvisorOne  |  May 10, 2013

  In a joint alert issued Thursday, the SEC and FINRA provide investors with information about what to do before buying or selling such rights and urge them to proceed with caution.

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  Top Advisors Sound Off on Tech: NAPFA Conference

  By John Sullivan, AdvisorOne  |  May 9, 2013

  "How to service high-end clients over and above money management is something we’re constantly examining," said one advisor.

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  FPA’s Man in Washington Speaks of Planner Group’s Priorities

  By James J. Green, AdvisorOne  |  May 9, 2013

  At FPA Retreat 2013, Daniel Penchina voices optimism on SEC user fee legislation; vows more help for state FPA associations.