retail investors

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  Fidelity, TD Ameritrade Raise Stakes on ETFs

  By Joyce Hanson, AdvisorOne  |  May 14, 2013

  As the ETF industry gains a larger foothold in the U.S. capital markets, Fidelity and TD Ameritrade are plunging deeply into the ETF space.

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  Jon Sundt: The 2013 IA 25 Extended Profile

  By John Sullivan, AdvisorOne  |  May 8, 2013

  Jon Sundt doesn’t have time for pleasantries. He’s in liquid alternatives, after all.

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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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  The CFPB Warning on Senior Designations: Off the Mark

  By Bob Clark, AdvisorOne  |  April 23, 2013

  Is cracking the whip on deceptive seminars for seniors really the most important issue a Consumer Financial Protection Bureau should be pursuing?

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  Low Investor Confidence: An Opportunity for Independent Advisors

  By Bob Clark, AdvisorOne  |  April 10, 2013

  As the previous financial meltdown helped create the independent investment advisory profession, so the current lack of trust in the investment system spells an opportunity for today's independent advisors.

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  FINRA’s Ketchum: Complex Products Still Need ‘Heightened Supervision’

  By Melanie Waddell, AdvisorOne  |  April 9, 2013

  During the SEC's National Compliance Outreach Program for Broker-Dealers, Ketchum pointed to three areas that FINRA was focusing on.

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  White Pledges to Weigh Cost of Fiduciary Rule as Ketchum Revives SRO Fight

  By Melanie Waddell, AdvisorOne  |  April 1, 2013

  Just as incoming Securities and Exchange Commission (SEC) Chairwoman Mary Jo White has pledged to lawmakers that she would carefully weigh the costs of a fiduciary rulemaking, Richard Ketchum, CEO of the Financial Industry Regulatory Authority (FINRA), is renewing his call for a self-regulatory organization to oversee advisors.

• The Dow’s Upside: Why the Pessimists May Be Wrong

  By Alexei Bayer  |  April 1, 2013

  The Dow Jones Industrial Average has been rising, but the pessimists point to troubling fundamentals. However, many of these economic trends could also be seen as beneficial for the stock market

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  Genworth Sells Wealth Management Unit for $412.5M

  By James J. Green, AdvisorOne  |  March 28, 2013

  Private equity firms Aquiline and Genstar to acquire GFWM and alternatives firm Altegris; management team, including CEO Gurinder Ahluwalia, to stay in place

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  Energy MLPs & Taxes: Under Scrutiny, but Still Churning Out Returns

  By Janet Levaux, AdvisorOne  |  March 26, 2013

  Legislators continue to zero in on partnerships, though most energy firms seem likely to avoid major impact, experts say.