Elizabeth MacBride

Hello Elizabeth-

Any other developments since this article you are aware of?

Thanks in advance.

Todd

Frustration mounts: Experts, RIAs identify six most important unknowns about the switch to state oversight

Compliance expert Cathy Vasilev says many of her clients are beginning to worry about whether they will be able to register with the states by the July 21 deadline.

NASAA

switch

Red Oak Compliance

Broyhill Asset Management

EXOS

Denise Voigt Crawford

Cathy Vasilev

Jeff Schnitz

David Massey

Jeff Clark

The past two years have been some of the most momentous in the relatively short history of the RIA profession. Legislators and regulators have been gradually embracing the fiduciary standard, though whether it will fully apply to everyone calling themselves advisors remains to be seen.

The Department of Labor’s crusade to lower costs and increase transparency in retirement plans means a spate of new regulations affecting advisors and brokers in that market. Dodd-Frank Financial Reform, meanwhile, continues to unroll across the profession, with the biggest change being a shift to state oversight of RIAs with less than $100 million AUM. In this section, you’ll find continually updated RIABiz.com coverage on all these topics.

RIA Compliance

The RIA business is many good things but integrated from a gender standpoint is not one of them. This is not so great. Women are the majority of humanity and they have an asset-building strategy that can't be beat. Women outlive their beer-and-steak mates and end up with big estates. But today's women have too another strategy -- pursuing wealth in the workplace. Yet when they go to find fellow women to talk all this through with, they don't readily find them. 

Companies big and small have for decades fallen over themselves to say that they have women's initiatives but I can't think of one that has amounted to much. But there are stories-- dozens or hundreds -- of them about women exerting their influence on this business and we are starting to collect them. It's a starting place -- documenting the ground being covered by women in the form of engaging tales graphically depicted by the physiognomy of the fairer sex.

Women of Wealth Management

SEC announced time frame for proposed rules

Frustration mounts: Experts, RIAs identify six most important unknowns about the switch to state oversight

Related Moves

November 18, 2022 at 2:56 AM

Todd E. Schwartz

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