Archive for March, 2015

7 Things to Do Before an SEC Audit @finplan

Friday, March 20th, 2015

Brian Hamburger (@HDelux) and Gary Davis (@gdavisjr) lay it out.

View slide show.

Fiduciary Roundtable @wealth_mgmt

Friday, March 20th, 2015

Brian Hamburger (@HDelux) goes toe-to-toe with Knut Rostad to discuss the recent regulatory shifts and the impact of expanding the fiduciary standard. @Megan_Leonhardt

Read more.

#wmm15 @hdelux advances to Elite 8 by defeating @tonyrobbins in matchup of #MSUM14 headliners http://cnsl.me/1BE2t5I

Saturday, March 14th, 2015

An RIA reflects on surviving it first SEC exam.

Wednesday, March 4th, 2015

Thanks for the mention, @topturncapital.

Read more.

It’s Madness!

Tuesday, March 3rd, 2015

Wealth Management (@wealth_mgmt) includes Brian Hamburger (@HDelux) in its list of most influential in the industry. Vote here.

Cover Story

Monday, March 2nd, 2015

Wealth & Finance Intl Magazine cover@wandfmagazine covers how MarketCounsel is leading the way in compliance solutions for America’s preeminent investment advisers.

Read more.

Cover Story

Monday, March 2nd, 2015

Wealth & Finance Intl Magazine cover@wandfmagazine covers how MarketCounsel is leading the way in compliance solutions for America’s preeminent investment advisers.

Read more.

Fun house effect: tweeting about an article about tweeting about the President’s fiduciary proposal

Monday, March 2nd, 2015

Brian Hamburger’s (@HDelux) tweets covered by @FinPlan.

Read more.

.@HDelux speaks @Pershing regional adviser symposium in NYC, discusses ongoing disconnect between DOL and SEC

Monday, March 2nd, 2015

Congratulations to @SherylGarrett for getting the President’s attention.  It’s well deserved for a career in serving the best interests of clients throughout her career.  @FinAd_IQ reports:

Despite all the excitement, Brian Hamburger of RIA consultancy MarketCounsel isn’t sanguine about a fiduciary rule becoming law. Hamburger conducted a training session Wednesday on the regulatory landscape at Pershing’s regional advisor symposium in New York.  Obama faces a Republican-controlled Congress that aims to stonewall most of his initiatives, the SEC has yet to agree with the DOL on how to tackle fiduciary rules for retirement plan advisors and by the time a concrete proposal emerges there’s likely to be a new president and Congress in office. In Hamburger’s view, the biggest obstacle is the persistent disconnect between the DOL and the SEC. “They’ve already tried to coordinate on it and failed miserably,” Hamburger says.

Read more.