RIAs

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  Risk-Based Oversight of Investment Advisors

  By Les Abromovitz  |  January 1, 2012

  Even if the SEC had a larger budget and more resources, it is doubtful that the Commission would have the resources to regularly examine all RIAs. Therefore, the SEC is likely to continue relying on risk-based oversight to fulfill its mission of protecting investors.

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  Glossary

  By Les Abromovitz  |  January 1, 2012

  A compilation of nearly one hundred terms, phrases, and important laws critical to the understanding of investment advisor regulation and compliance.

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  Regulatory Oversight of Investment Advisors

  By Les Abromovitz  |  January 1, 2012

  Although the regulatory environment is in a state of flux, it is imperative that RIAs adhere to their compliance obligations. To ensure compliance, RIAs and IARs must fully understand what those obligations are.

• While Nero Fiddled…

  By James J. Green, AdvisorOne  |  August 24, 2011

  Regardless of your political persuasion, you’re probably a little unhappy at the moment (the moment being Aug. 9).

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  Dodd-Frank and Advisors: Where Things Stand on an SRO for Advisors

  By Bob Clark, AdvisorOne  |  July 20, 2011

  The devil is in the details on implementing Dodd-Frank, as seen in the debate over an SRO for advisors.

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  Fidelity Ultra-HNW Program Nears $2 Billion in Assets

  By Marlene Y. Satter, AdvisorOne  |  May 5, 2011

  Fidelity Investments announced Thursday that its new program for RIAs with ultra-high-net-worth (UHNW) clients had, in only six months of existence, already reached nearly $2 billion in assets.

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  The Problem Isn't With RIAs: Why a Fiduciary Standard for Brokers Makes Sense

  By Bob Clark, AdvisorOne  |  March 29, 2011

  If the problem were with RIAs, we’d be changing the laws governing RIAs to be more like the laws governing brokers. But we’re not.

• Using Bond Ladders to Stave Off a Corporate Bond Bubble

  By Melanie Waddell, AdvisorOne  |  November 1, 2010

  We recognize the growth in the RIA space and we have been examining how we could expand that platform and reach them in a more meaningful way.

• RBC Advisor Services Appoints Christian Wid?n Senior Vice President

  By John Sullivan, AdvisorOne  |  August 17, 2010

  RBC Advisor Services continues to expand. The custody, brokerage and wealth management provider for RIAs announced that Christian Wid?n has joined the firm as a senior vice president.

• 2010 Top Wealth Managers: The Regulatory Breeze From Washington

  By Kathleen McBride, AdvisorOne  |  July 12, 2010

  Regulatory uncertainty was often cited as one of "three most critical risks to your firm" by the RIAs who participated in Wealth Manager's 2010 Top Wealth Managers annual survey.