by Patrick M. Kelly | Jul 18, 2012 | Financial Services Industry
John Taft, CEO of RBC Wealth Management and 2011 Chairman of the Securities Industry and Financial Markets Association (SIFMA) has written a new book, “Stewardship: Lessons Learned from the Lost Culture of Wall Street.” Taft, who had a direct role in the financial...
by Patrick M. Kelly | Jul 16, 2012 | Breakaway Brokers, Broker-Dealers, Brokers
Financial Advisor Magazine’s July 2012 issue has the latest rankings and survey of the RIA firm arena. Reported by Eric Rasmussen, several trends are emerging in this year’s survey. Breakaway brokers have continued to enter the RIA space even more rapidly following...
by Patrick M. Kelly | Jul 12, 2012 | Advisor Profiles
As a follow up to previous blogs on financial advisor ranking sites, it was brought to my attention that another site, launched in February, connects investors to some 588,000 financial advisors, each with their own profile rating and reviews. Tippybob rankings are...
by Patrick M. Kelly | Jul 9, 2012 | Financial Advisor Directories
After the previous review of the emerging financial advisor directories, ranking and disclosure sites, confusion and indecision among advisors in the industry is to be expected. Should one take the bait and join some of the new services? Decisions will depend on...
by Patrick M. Kelly | Jul 6, 2012 | Advisor Profiles, Financial Advisor Directories
At AdviceIQ, financial advisors, whether from a wirehouse, IBD, RIA, bank brokerage or wherever, can only get listed in the directory if they have zero complaints on their records. Therefore, an investor cannot search for compliance issues about their advisors because...
