Financial Services Institute

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  The 2013 IA 25: Advisor Advocates and Regulators

  By Editorial Staff  |  May 20, 2013

  Since the financial crisis, advisors have had to defend their businesses from wary consumers, overzealous legislators and sometimes even other advisors whose unscrupulous actions would cast good advisors in the same shadow as bad advisors.

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  House Passes SEC Cost-Benefit Bill

  By Melanie Waddell, AdvisorOne  |  May 17, 2013

  Planning groups are at odds over a bill that passed the House on Friday requiring the SEC to conduct more rigorous cost-benefit analyses before making rules.

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  FSI Backs Bill Requiring SEC Cost-Benefit Analysis

  By James J. Green, AdvisorOne  |  May 16, 2013

  H.R. 1062 would require SEC to conduct cost-benefit analyses before instituting rules. The White House opposes the measure.

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  Dale Brown: The 2013 IA 25 Extended Profile

  By Melanie Waddell, AdvisorOne  |  May 16, 2013

  When reminded that this is the seventh year that he’s been named to the IA 25, Dale Brown was quick to give kudos to his entire team, noting that the Financial Services Institute’s success doesn’t hinge on his abilities alone.

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  150 Advisors From Capital Investment Cos. Join FSI

  By James J. Green, AdvisorOne  |  May 15, 2013

  The broker-dealer will pay for first-year membership for its representatives in independent BD association, which counts 35,000 individual advisor members.

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  Larry Roth: The 2013 IA 25 Extended Profile

  By John Sullivan, AdvisorOne  |  May 13, 2013

  Think about this the next time someone complains about not being able to “find the time” to get involved.

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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.

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  Middle-Age White Guys Need Not Apply: AIG’s Advisor Group Diversifies Recruitment

  By Joyce Hanson, AdvisorOne  |  May 7, 2013

  The traditional image of the wirehouse-trained advisor serving strictly HNW white males is giving way as women challenge assumptions about who the average investor is.

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  Crossing Paths: The 2013 IA 25

  By Editorial Staff  |  April 29, 2013

  With Investment Advisor's 13th annual list of the most influential individuals in and around the advisor business, we decided to do something different.

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  FINRA Pulls Plug on BrokerCheck Social Media Plan

  By Melanie Waddell, AdvisorOne  |  April 24, 2013

  After complaints, FINRA on Wednesday withdrew its proposed requirement that advisory firms include a reference and a link to BrokerCheck on their websites.