Articles published 3/2010
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Publish date
Mutual fund industry may be too quick in declaring victory on the Supreme Court Decision
March 31, 2010 at 6:24 AMThe standard is upheld but the people-with-muscle caveat is a true victory for investors, according to Tamar Frankel
Advisor Spotlight: Lon Morton went from being a minor league baseball player to a major league RIA
March 31, 2010 at 6:23 AMMorton Capital Management gets referrals from both Schwab and a local bank that acquired it
Fidelity plows ahead in the RIA business with overhauls of service, technology and management
March 30, 2010 at 6:05 AMStagnant for more than a decade, the Boston-based RIA custodian has become a cauldron of dynamic change in last few years
[Updated] David Brochu finds his lawsuit against Focus Financial is a rough experience
March 30, 2010 at 5:58 AMThe Rhode Island RIA keeps up the legal battle to clarify the size of his firm's equity stake
Newest additions to Broker Protocol
March 30, 2010 at 5:54 AMIn four-day span in early March, seven companies joined
RIA Central has launched its bid to be the Facebook of RIAs
March 29, 2010 at 6:37 AMHeather takes a close look at how Fugent has pieced together a pioneering effort
InvestmentNews shows it means business in the consulting business
March 29, 2010 at 5:37 AMThe news giant snags a Schwab employee and looks to expand its mission
Fidelity delivers a white paper and a warning to RIAs regarding new cost-basis rules
March 26, 2010 at 5:54 AMMulti-custody arrangements and third party platforms can lead to troublesome data fragmentation, the Boston custody giant says
IMCA fills out roster by nabbing yet another FPA talent
March 26, 2010 at 5:53 AMOne Denver advisory association looks to the other for hires but the two organizations profess peace
Encouraged by early success in New York, Edelman ramps up office openings
March 25, 2010 at 5:27 AMBig Virginia RIA sees an opportunity in wirehouse fumbling and he's grabbing it
How BrightScope is using technology to create order in a messy 401(k) market
March 25, 2010 at 5:27 AMA San Diego-based company gives a peek behind the curtain of many of the 60,000 largest defined contribution plans
Why Moss Adams signed a big contract with Fortigent
March 24, 2010 at 5:15 AMThe Seattle-based RIA is looking to grow investment capabilities without adding staff
Breakaway spotlight: Former Merrill Lynch broker uses just-the-facts approach to win business of scientists, engineers
March 24, 2010 at 5:10 AMTwo MIT grads do the math for clients, including numbers that show 401(k)s lacking
Part II: The things 11 through 20 that show the RIA market is really heating up in 2010
March 23, 2010 at 5:46 AMEverything from New York Times recognition to accelerating executive hires suggest the RIA realm is getting hot
A newly emboldened Obama may yet win on financial services reform
March 23, 2010 at 3:53 AMWhy some Washingtonians are wrong about the bill's prospects
What an RIA needs to know now that health care reform has passed
March 23, 2010 at 3:43 AMSome tax increases kick in next year
10 things that show the RIA movement is really heating up in 2010: Part I
March 22, 2010 at 4:59 AMObservers need a scorecard to keep track of all the advances that RIAs are making
One excuse the SEC doesn't listen to: I was just following the crowd
March 22, 2010 at 3:58 AMThird-party rankings misleading without the context; here's how to give it
Revised amendment aims to heal breaches in advisor community
March 19, 2010 at 7:32 PMNew oversight for financial planners may be tougher for Senators to vote against because it is seen as pro-consumer
With Schwab [and maybe Fidelity] as custody partners, NFP is positioned to make a run at the hybrid market
March 19, 2010 at 2:36 PMIf NFP IndeSuite catches on, the success could make up for some struggles on the roll-up side of the business
Blog battle: Vanguard 401(k) principal and president of 401(k)-tracker have it out over the Internet
March 19, 2010 at 6:16 AMSteve Utkus suggests a flaw in BrightScope's system and Ryan Alfred is having none of it
How to market to women: Don't
March 18, 2010 at 5:35 AMOne pioneer on how she sees her market -- hint: it's not a monolith
Fortigent and Adhesion staff up to haul in bigger fish in the outsourcing market
March 18, 2010 at 5:33 AMAdvisors who never considered outsourcing see it in a different light today
Orion is outshining competitors in the eyes of some RIAs
March 17, 2010 at 5:44 AMThe Omaha-based portfolio management outsourcer is winning on service and innovation
Orion will take a page out of Facebook to help RIAs achieve better inter-office chats
March 17, 2010 at 5:44 AMThe Omaha-based portfolio management outsourcer sees potential in co-opting social media methods
Two senior UBS brokers pass on retirement to pursue aggressive breakaway plan
March 16, 2010 at 5:10 AMHuebner and Jagger are winding up, not down with multi-faceted growth strategy
Senate proposal pushes most RIAs one step closer to state regulation
March 16, 2010 at 5:08 AMSenate and house bills now both seek to wrest 75% of RIAs away from SEC oversight
FINRA and SIFMA win big for Wall Street with release of Senator Dodd's bill yesterday
March 16, 2010 at 5:07 AMThe proposal is a 'devastating grant of authority to the SEC to write the rules'
Fidelity names buck-stops-here service czar for all of its financial advisory channels
March 15, 2010 at 12:56 PMMaggie Serravalli is aiming for service quality consistency
Black Diamond adds a Fidelity veteran to its sales team
March 15, 2010 at 12:56 PMKaren Lisowski will work from San Francisco
A closer look at Orion Advisor Services' software and what's in store for its next release
March 15, 2010 at 6:10 AMEric Clarke's Omaha company has wedged its way into the RIA consciousness with good reason
How Royal Alliance won a big-time RIA after a string of losses
March 12, 2010 at 7:03 AMRehmann Financial loves the AIG subsidiary's alliance with Pershing
Which firms are joining the Broker Protocol, and how your firm gets on the list
March 11, 2010 at 6:11 AMSigning up is simple and firms can market their eagerness to recruit talent
What the alternative is to ill-conceived Target Date Funds
March 11, 2010 at 6:05 AMThe popular savings vehicle may be structured for bad performance
Fidelity reorganizes its RIA business
March 10, 2010 at 9:47 AMMike Durbin folds sales and relationship management together and two veterans depart
Proposal would sweep RIAs, planners, brokers into one huge regulatory pool (Updated)
March 10, 2010 at 9:46 AMNew board promoting the fiduciary standard would oversee 75,000
Look before you leap: Six questions you must consider before becoming a multifamily office
March 9, 2010 at 5:58 AMTaking the attitude that any client with $25 million is a good client leads to trouble
Constellation Wealth Advisors nabs a major rainmaker
March 9, 2010 at 5:57 AMSilicon Valley RIA practice hopes that Steve Bono can jump start its $4 billion practice
Pershing is working to create a better alternative assets experience
March 8, 2010 at 5:23 AMThe Jersey City RIA custodian believes a defined list of criteria gives it an edge
Four questions that financial advisors and clients need to ask in a post-Madoff, post-meltdown era
March 8, 2010 at 5:23 AMUntil hard questions are asked, people default to the old answers
Why the New York Times fiduciary article won't deter the special interests
March 5, 2010 at 6:26 PMConsumer-protection regulations rarely get stiffer in the legislative process
NY Times uncovers deeper fiduciary truth by interviewing wirehouse brokers
March 5, 2010 at 5:17 AMYesterday's article in respected newspaper shows brokers themselves make no pretense about putting the client first
SEI has a new strategy for boosting 2010 sales and an analyst calls it a 'grand slam'
March 5, 2010 at 5:17 AMThe big TAMP launched a national team in January to help independent broker-dealers
Mark Tibergien is making Pershing an industrial strength custodian with an RIA service touch
March 4, 2010 at 6:47 AMThe feisty CEO of Pershing's RIA unit believes his offering will speak to big RIAs
IRA assets could be ripped from the grasp of brokers if DOL has its way
March 4, 2010 at 6:47 AMWith brokers disqualified, fee-only advisors may have 'phenomenal' opportunity to dominate $4.1 trillion IRA market
Why the DOL's proposed 401(k) rules could ding brokers and leave the spoils to RIAs
March 3, 2010 at 7:16 AMSIFMA cries foul on the basis that such regulations would reduce people's access to retirement plans
Sara Hansard will help RIABiz cover Washington
March 3, 2010 at 7:06 AMVeteran reporter brings knowledge and experience to complex regulatory issues
Why Nick Georgis came back to Schwab and how the old hand may bring new vision
March 2, 2010 at 7:26 AMThe former sales chief believes he is wiser after being away for six years
The FPA's practice management event boasts two hot speakers in its first day
March 2, 2010 at 7:19 AMCalifornia entrepreneur and NSA star are among the top draws
Nick Georgis returns to Schwab Advisor Services
March 1, 2010 at 9:51 PMThe former head of sales will assume many of Barnaby Grist's duties
Berkeley professor challenges United Capital directors to act more like managers and less like entrepreneurs
March 1, 2010 at 7:26 AMEat-what-you-kill mentality won't take a company to the next level
Four hot topics in compliance from the IAA conference
March 1, 2010 at 6:33 AMThe mutual fund and ETF question gets looked at from a regulatory standpoint
Top RIA lobbyist says insurance foes have been 'more effective' in fiduciary battle but urges patience
March 1, 2010 at 5:16 AMNeil Simon: Supporters of a strict fiduciary standard can prevail with an effective end game
