Brian Lauzon
Brian Lauzon leads Arin Risk Advisor’s efforts to build and grow its client base. He has held various leadership positions within the investment advisory industry, including Director of Marketing and...
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5 Ways Top RIA Firms Help Clients When Markets Are Challenging
When market volatility like the swings we’ve seen last quarter make clients uneasy, fiduciaries that have a framework of prudent fiduciary practices in place, can call on them to help ease clients’...
View ArticleKathleen McBride
Kathleen M. McBride, AIFA®, is founder of FiduciaryPath, LLC, a consulting and research firm specializing in investment fiduciary processes for investment organizations and stewards. She is an analyst...
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Are Your Portfolios Really Efficient? (And Does It Even Matter?)
For decades, the gold standard for portfolio construction has been rooted in mean-variance optimization and modern portfolio theory (MPT). Starting with a few asset class inputs (mean historical...
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Special Interests Lobby Courts in ‘Best Interest’ of Banks, Brokers and...
Instead of fiduciary principles that place investor’s best interests first, special interests lobby the Courts to keep their own interests ahead of America’s Retirement Savers.In an effort to kill the...
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Schwab Ads Place Clients and Fiduciaries Front And Center
Finally, ads that put investors and independent registered investment advisers in their place.Front and Center.Tags: nasdaq
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Some Firms Still Resent Placing Retirement Investors' Interests Before Their Own
Some broker-dealers and insurance companies are complaining about the cost of putting investor clients' interests before their own when working with retirement investors, retirement plans, and...
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Edward Jones Gets It Wrong: Self Interest Trumps Fiduciary Interest of...
Edward Jones announced changes in its model that purport to be fiduciary but in reality they are not. Changes to its IRA model may serve Edward Jones' interests, but they do not serve the best interest...
View ArticleOlga Rodrigues
Olga Rodrigues, MBA, heads Customer Operations for RAI Stone Group. She is an established international business developer with the proven ability to deliver growth through channel partner sales, new...
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Close Doesn't Count
Did you know we make over 250 decisions a day, just around what we’re going to eat each day?! During the business day, we probably make more complex decisions than whether to have peas or the chocolate...
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Quantitative vs. Qualitative Data
Research methods, or as this infographic depicts, decision making, can be placed into two differing camps: quantitative or qualitative. If you were thinking about getting a dog… where would you find...
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Stimulating Top-Line Growth
One of the most pressing issues today — especially among companies with $5 to $75 million in revenue — is how to stimulate top line growth. Sales generation, marketplace exposure and increased...
View ArticleThe State of Small Business Software Usage
Small businesses are using software for so many things and the software industry is booming, in fact it’s become integral to how businesses function, as well as the economy as a whole. Check out the...
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Cracking the Code on Small Business Credit
Before the recession, community banks were able to provide tools, guidance, education, and financing to grow their small and mid-size business customers. Since that time, a more volatile economy and...
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Advisors: Trade Practice and Conflicts
Written by: Michael ConlonRegistered Investment Advisors have fairly broad discretion in constructing their trading practices to their specific business model and service offerings.In doing so for your...
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Compliance: Email Archiving and Surveillance
An important and modern advancement of the SEC’s “Books and Records Rule” is the storage and review of email activity by Registered Investment Advisors (RIAs).
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Maintaining Financial Statements
The financial statements that you maintain for your RIA firm, which include income statements, balance sheets, statements of cash flows, are powerful tools. Apart from the fact that they are a required...
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Voting Client Proxies
The right to cast votes on certain corporate matters is an important power given to shareholders of publicly traded companies and mutual funds. Your RIA firm is expected to address its role with...
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