Rhode Island

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  Top 5 Retirement Issues

  By Editorial Staff  |  February 25, 2013

  Investment Advisor talked to several of the main players on the retirement stage to get their thoughts on the big challenges of modern retirement.

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  SEC Names Acting, Deputy Directors of Enforcement

  By Melanie Waddell, AdvisorOne  |  February 1, 2013

  The SEC announced Thursday that George Canellos has been named acting director, and that David Bergers, director of the SEC’s Boston Regional Office, has been named acting deputy director.

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  New Hire Roundup: CFP Board Announces Chair Appointments

  By Marlene Y. Satter, AdvisorOne  |  January 30, 2013

  This week in new hires, John Byrne and Bryan Hissong returned to Prudential Retirement, and Jac McLean was named head of distribution at Hartford Mutual Funds.

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  NCPERS Head Cries Foul Over Pew Pension Survey

  By John Sullivan, AdvisorOne  |  January 17, 2013

  Organization calls the report’s findings about the health of municipal pension plans “distorted and outdated.”

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  Illinois Dragging Feet on Huge Pension Problem

  By Sara Burnett  |  January 2, 2013

  Lawmakers will convene again the first week in January in hopes of fixing the nation's worst case of underfunding state employees' pensions, a problem approaching $100 billion and mounting by $17 million per day.

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  Investors Cap Reports Profit on Growing Sales

  By Janet Levaux, AdvisorOne  |  November 14, 2012

  The independent broker-dealer has about 450 advisors with $8 billion in assets under management

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  Best and Worst 529 College Plans for 2012: Morningstar

  By Joyce Hanson, AdvisorOne  |  October 18, 2012

  What’s striking this year is the big pool of winners, a reflection of the improvement in the 529 industry since it hit bottom in 2008—and seven of the 27 medalists are advisor-sold.

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  SEC, FINRA Enforcement Roundup: Schwab's BrokersXpress Hit With Another Fine

  By Marlene Y. Satter, AdvisorOne  |  October 11, 2012

  FINRA and the SEC recently took action against a number of firms for everything from fraud to supervisory failure that in some cases cost the firms dearly.

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  11 U.S. Donors Join Buffett/Gates ‘Giving Pledge’

  By Michael S. Fischer  |  September 24, 2012

  Eleven more wealthy U.S. families have committed to give half of their wealth to charitable causes, the Giving Pledge announced last week.

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  New Hire Roundup: Hatteras Promotes Murphy

  By Marlene Y. Satter, AdvisorOne  |  August 22, 2012

  This week in new hires, Robert Murphy was named CIO of Hatteras Alternative Mutual Funds; Steven Lofquist went to JHS Capital Advisors; and Franklin Square welcomed Mike Gerber.