National Association of Personal Financial

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  Lovell Minnick Acquires Kanaly Trust

  By Joyce Hanson, AdvisorOne  |  October 9, 2012

  The Kanaly family and members of the senior management team of Kanaly Trust will retain a material investment in the firm founded 35 years ago by E. Deane Kanaly.

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  NAPFA Illustrates Dire State of Americans’ Finances

  By Melanie Waddell, AdvisorOne  |  October 5, 2012

  The trade group introduced an infographic to depict the dire state of personal finance in the United States in 2012 and the important role financial planning can have in reversing the negative trends.

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  As Congress Keeps SEC Budget Flat, SRO Specter Still Lurks

  By Melanie Waddell, AdvisorOne  |  September 24, 2012

  Before breaking for recess, Congress passed early Saturday a continuing resolution that would nearly flat-line the SEC's budget, renewing worries that a House bill calling for an SRO for advisors will be revived next year.

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  NAPFA Elects Lauren Locker to Replace Ron Rhoades as Chair

  By Joyce Hanson, AdvisorOne  |  September 4, 2012

  Locker, who founded her own New Jersey-based firm in 1992, is a CFP and has served on NAPFA’s National Board for the past two years.

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  Ron Rhoades’ Exit From NAPFA Shocks Fee-Based Advisor World

  By Joyce Hanson, AdvisorOne  |  August 21, 2012

  In a self-punishing mea culpa, Rhoades said he was stepping down from the NAPFA chairmanship after discovering that he had committed a violation as chief compliance officer of his firm.

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  Remedy to Boost Advisor Exams Out of Reach This Year

  By Melanie Waddell, AdvisorOne  |  August 21, 2012

  Two important issues for the advisory industry will remain unresolved until next year: how to boost investment advisor exams—either through a self-regulatory organization (SRO) or via user fees—as well as a rule to put brokers under a fiduciary mandate.

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  A Chat With CFP Board CEO Kevin Keller: Fiduciary, SRO and His Priorities

  By Melanie Waddell, AdvisorOne  |  August 21, 2012

  Providing the SEC with the resources it needs “is the best solution" to the advisor exam problem, says Kevin Keller, but finding a way to ensure advisors face more exam scrutiny—through an SRO or user fees paid to the SEC—will be a “long-term issue.”

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  To Thwart SRO, Rep. Waters Introduces User Fee Bill

  By Melanie Waddell, AdvisorOne  |  July 25, 2012

  Maxine Waters, D-Calif., introduced on Wednesday a bill that would allow the SEC to collect user fees from advisors to fund their exams in lieu of an SRO.

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  FINRA’s New Suitability Rule Edges Closer to ‘Fiduciary’: NAPFA Chairman

  By Melanie Waddell, AdvisorOne  |  July 16, 2012

  Ron Rhoades, the chairman of NAPFA, says the rule's biggest challenge is that a BD’s “investment strategy” must now meet suitability requirements.

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  It’s Not Too Late to Make Your Voice Heard on SRO Bill

  By David Tittsworth, IAA  |  July 6, 2012

  If you’re not in favor of having FINRA become the SRO for RIAs, join the advisor grass-roots effort to advocate with Congress against Bachus bill.