Articles tagged "Neil Simon"
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This MBA chose an RIA, now with $1.4 billion AUM, but as a business model, not as professional choice per se
Neal Simon says that -- Ric Edelman aside -- nobody is plotting expansion like him
February 14, 2014 at 5:26 PM
A roll-up exec talks about owning a roll-up and calls out his fellow entrepreneurs to focus on genuine distinctions
There are private-equity backed consolidators and RIA aggregators, and subspecies of each of those, but we can call them all roll-ups
November 13, 2012 at 4:32 AM
TD Ameritrade's 2012 Elite Advisor Summit gathers $89 billion of RIA assets under one Laguna Beach umbrella
Fresh off a week of D.C. intensity, the annual event crackled with strong opinions and offensive strategies
June 15, 2012 at 2:45 AM
GAO study puts insurance agents up for scrutiny as it rejects idea of sweeping RIAs, b-ds, planners into one regulatory pool
A disappointment to those advocating for a financial planning profession, the study details the hodgepodge of regulation without recommending major changes
January 19, 2011 at 3:51 PM
The 7 government actions that could reshape the advisory business in 2011
Funding may derail some grand plans, but regulations roll on (and so do tax threats)
January 7, 2011 at 1:49 PM
DC Current: A damning view of financial services from Inside Job's director, Charles Ferguson
Film connects the dots leading to the crisis and lays blame at the doors of some unlikely candidates
November 5, 2010 at 5:00 AM
How financial reform gives the SEC new bite; plus at least five other things advisors ought to know about the legislation
The new financial world will be constructed mostly out of the public eye, as regulators begin studying 150 issues Congress punted to agencies
July 26, 2010 at 3:36 AM
Improbable win for fiduciary standard: Congress set to hand SEC power to impose fiduciary duty on broker-dealers
Conference committee agrees on a measure that calls for six-month study and then gives SEC authority to write single set of rules for advisors and brokers
June 25, 2010 at 3:36 AM
Revised amendment aims to heal breaches in advisor community
New oversight for financial planners may be tougher for Senators to vote against because it is seen as pro-consumer
March 19, 2010 at 7:32 PM
Senate proposal pushes most RIAs one step closer to state regulation
Senate and house bills now both seek to wrest 75% of RIAs away from SEC oversight
March 16, 2010 at 5:08 AM
Top RIA lobbyist says insurance foes have been 'more effective' in fiduciary battle but urges patience
Neil Simon: Supporters of a strict fiduciary standard can prevail with an effective end game
