Institutional

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  SROIIA Launches State Web Tool in Anticipation of ‘Switch’

  By Melanie Waddell, AdvisorOne  |  December 14, 2011

  The SROIIA, which was founded by two University of Mississippi School of Law students last March, announced Wednesday that it had created a web tool to help advisors wade through the registration requirements for each state.

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  Forget Advisor SRO; Use External Auditors for Exams, Academic Study Urges

  By Melanie Waddell, AdvisorOne  |  October 27, 2011

  A Georgetown business school professor offers another option in lieu of an SRO for advisors: outsourcing routine advisor exams to external third parties, such as accounting and consulting firms.

• Envestnet Continues Expansion With Two More High-Profile Hires

  By James J. Green, AdvisorOne  |  March 22, 2011

  John Fitzpatrick, ex-Fidelity, and Sean Mullen, ex-Fortigent join Envestnet in sales, SMA consulting roles.

• SEC’s Fiduciary, SRO Studies Considered Linked, Experts Say

  By Kathleen McBride, AdvisorOne  |  February 10, 2011

  Although the SEC’s Fiduciary Study and the SRO Study, are separate, in the eyes of some industry experts and academics that specialize in financial services issues, the two are linked.

• New Frontiers for Foliofn

  By Staff Writer  |  April 2, 2003

  Industry Pioneer Hires Institutional Chief, to Foc