Articles published 5/2010
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Publish date
Structuring distribution strategies for retirees in a bear market
May 31, 2010 at 4:41 AMIn this piece, which won an honorable mention in IMCA's 2010 Stephen L. Kessler Writing Award contest, Jack Gardner explores options for conserving retirement portfolios.
Performance measurement challenges for investors who live in a perpetual time horizon world
May 31, 2010 at 4:40 AMColumnist Frederick C. Bruckner argues that trustees can afford greater patience with the investment managers they choose.
Of Trumpets and Tulips: Is time diversification a myth or reality? Does time horizon affect the tolerance for risk?
May 31, 2010 at 4:39 AMSince risk grows at a slower rate than cumulative return, the ratio of return to risk improves with time
A compliance attorney fields four tough 401(k) questions amid crossfire provoked by Ric Lager's column
May 28, 2010 at 4:39 AMPeter Savarese's answers show how RIAs can manage 401(k) assets and avoid land mines
Regulatory Wire: Advocates for investment advisors disagree over priorities in the reform debate
May 28, 2010 at 4:37 AMPlus: a Washington outsider's view of reform; and FINRA's Ketchum on new fraud focus
Brochu drops lawsuit against Focus Financial but $500,000 is still at issue
May 27, 2010 at 4:27 AMRhode Island advisor backs off initial suit after getting most documents
Selling your value proposition
May 27, 2010 at 4:26 AMGray hairs have a leg up in this market. Younger advisors rely on their ability to explain their process
Raymond James names new head of its Women's Network
May 27, 2010 at 3:34 AMNicole Spinelli brings recruiting experience and a women's studies babckground
9 things to know about the breakaway-to-RIA movement and why it's likely to get bigger
May 26, 2010 at 7:18 AMIn a down market, RIAs need a new growth strategy and small brokers a safe landing place
How Time magazine's "Sheriff" article about Mary Schapiro, Sheila Blair and Elizabeth Warren misses the mark
May 26, 2010 at 7:18 AMApplying the busting-through-the-glass-ceiling narrative to women presumes that they haven't already
Why gathering big-time 401(k) assets -- and charging regular fees -- is well within reach for most experienced RIAs
May 25, 2010 at 4:57 AMThe obstacles are overrated and the opportunity is underrated
Compliance GPS: It may be a mistake to project too successful an image, especially in a post-Bernie Madoff world
May 25, 2010 at 4:57 AMHint: photos of you on a yacht may not be what your clients are looking for right now
Seven things advisors need to know about social media
May 25, 2010 at 4:22 AMShocking but true: In a connected world, the number of Google hits your firm gets increases your credibility. Social media can help.
Royal Bank of Canada is hustling to become an RIA custody force
May 24, 2010 at 5:50 AMRBC Advisor Services weaves together RIA businesses of old Dain Rauscher and old Bear Stearns
Double-dip market disaster on tap next? Not likely, say pundits from Schwab, Fidelity, Barron's and Seeking Alpha
May 24, 2010 at 4:31 AMDigest of recent pundit writings counters view of Joseph Stiglitz that consumers are out of bullets
Two years later, a Merrill Lynch breakaway team has no regrets
May 21, 2010 at 4:40 AMNo one took a pay cut, no one is answering to a manager anymore, and there's never a question about buying a stapler
Regulatory Wire: Is it game-over for the fiduciary standard this year? Advocates say, maybe not
May 21, 2010 at 4:31 AMJohnson amendment, calling for study of harmonizing regulations, passes as part of 1,596-page bill
Facing the breakaway paper blob with a game plan and a quarterback
May 21, 2010 at 4:30 AMHalf the battle is getting the right forms with the red arrows plastered by the signature lines
Postscript to the Fidelity Executive Forum article: The RIA perspective
May 20, 2010 at 5:51 AMAbigail Johnson sent the right message with her presence and her speech, advisors say
The Leading Indicator: Breakaway lawyers turn the tables and invite RIA providers to their own conference
May 20, 2010 at 4:49 AMThe business plan and the breakaway plan of RIA service providers are starting to look the same
Here's a 15-item checklist of low-hanging tax tips for financial advisors
May 20, 2010 at 4:48 AMIt's tempting to put April 15th behind you, but here's how you can plan for next year
Trust Company of America is modifying its approach despite lights-out growth
May 19, 2010 at 6:24 AMThe Denver-based RIA custodian is no longer content to be a niche player
How the NFL Players Association brought financial advisors to Florida to better marry them to its members
May 19, 2010 at 6:23 AMAdvisors new to the league's program must attend the conference during their “rookie” season
Breakaways continue apace: new additions to the Broker Protocol
May 19, 2010 at 6:00 AMNine new firms joined in two weeks
What happened at Fidelity's RIA conference this year
May 18, 2010 at 5:49 AMThe presence of Ned Johnson and George W. Bush lent gravitas to the annual event
Stiglitz to IMCA crowd: Hunker down for painful recovery
May 18, 2010 at 5:42 AMNo froth in this economist's speech. He sees governments-in-a-box and political instability
How the breakaway movement is driving the outsourcing trend
May 17, 2010 at 4:30 AMSimplifying day-to-day tasks is at a premium for firms set on executing intensive growth strategies
Massachusetts Privacy Laws got toned down [some] but they're still a compliance headache
May 17, 2010 at 4:27 AMHere are 12 questions asked and answered about the intensive new regulations
Hopes dashed: Collins amendment extends fiduciary standard to BDs, but excludes variable annuity sellers
May 14, 2010 at 11:07 PMAmendment under fire from state securities regulators, Consumer Federation
Matt Abar is rewarding loyal Techfi customers as beta period ends
May 14, 2010 at 5:48 AMThe conversion to FinFolio Workstation 2010 will be free
Regulatory Wire (Updated): To create a successful new regulatory regime, the biggest fears of both broker-dealers and advisors must be assuaged
May 14, 2010 at 5:38 AMPlus, a DOL administrator offers hints of new 401(k) regulations to come this fall
[Updated] Focus Financial amended statement today to say it obtained restraining orders against David Brochu of StrategicPoint
May 13, 2010 at 7:00 AMBrochu says he is restraining himself without being ordered to do so by a judge
How I survived switching custodians twice in one year, and how you can, too
May 13, 2010 at 6:59 AMA new home more to your liking lies at the end of the road, but it can be a bumpy journey
What the Charles Goldman and David Brochu lawsuits say about the RIA business
May 13, 2010 at 6:23 AMGood people and good companies sick lawyers on each other when so much happens so fast
RIABiz takes a peek under the hood of Advent Portfolio Exchange
May 12, 2010 at 5:26 AMThe San Francisco software giant has made customer relationship management a big priority
The world according to advisors
May 12, 2010 at 4:52 AMScanning the RIAbiz stats for what advisors were thinking about over the past month
Schwab unveils a plan to create a grand ecosystem of top technology vendors to RIAs
May 11, 2010 at 6:08 AMExecutives of the San Francisco RIA custodian believe they can take integration further than Fidelity's WealthCentral
Several hundred small RIAs gain access to Black Diamond software at reduced rates
May 11, 2010 at 6:07 AMShareholders Service Group will be one service point for its advisor clients
Advent Software is moving ahead in the RIA tech market-- even if most Axys users refuse to budge
May 10, 2010 at 6:34 AMAdvent Portfolio Exchange is hitting its stride but mostly thanks to a whole new generation of customers
How ETFs have been oversold when it comes to flexibility, lower costs and tax efficiency
May 10, 2010 at 6:19 AMETFs are the new sacred cow, but Adam Bold calls them hamburger
Regulatory Wire: Advisor groups long have pushed for the fiduciary standard; because of the Goldman Sachs case, they may get what they asked for, and more
May 7, 2010 at 6:06 AMSenators call for ERISA-level standards of care for retail investors; also, Schapiro puts new ADV part 2 back on the radar
Advent Software got a lift from improving APX sales in first quarter
May 7, 2010 at 6:05 AMSan Francisco-based broker is at important point in its history
Stock market Euro-trashed: What does it mean for your clients' wealth?
May 7, 2010 at 4:19 AMIt's a great time to readjust Beta after an 80% surge from the lows and just a 6% selloff this week
Debate continues: Fiduciary standard no panacea
May 6, 2010 at 6:30 AMFinancial Services Institute advocates for study, deliberate look at investor protection
HighTower Advisors and United Capital seek to stamp out wirehouse feel by embracing Apple technology
May 6, 2010 at 6:28 AMThe aggregators see risk in standing pat with PC technology when advisors use Macs at home
SIFMA will take over administration of Broker Protocol list
May 6, 2010 at 6:25 AMWachtell, Lipton, Rosen & Katz gives up reins of legal truce after list of participants balloons to 471 firms
One-Man Think Tank: Inside the legal issues of the Goldman Sachs hearings
May 5, 2010 at 5:14 AMSorting out the culpability of the Wall Street powerhouse requires a close look at the suitability standard
The suitability standard, defined
May 5, 2010 at 4:57 AMIf you've wondered, as we have, exactly what it says, wonder no more
Straight talk from a community bank breakaway
May 4, 2010 at 4:20 AMBeing a fee-based RIA is a strong selling point in a town where you're the only one
Behind the PR man's curtain: how RIAs can successfully deal with the media
May 4, 2010 at 4:18 AMHow to develop a strategy that helps convince clients to trust their assets to you
Goldman Sachs' wealth managers are taking recruiters' phone calls amid concerns over scandal fallout
May 3, 2010 at 6:13 AMThe 'betting-against' allegations have some brokers fearful about their ability to attract new prospects
TD Ameritrade's technology, Veo, wins high praise from advisors so RIABiz took a look
May 3, 2010 at 6:12 AMVeo got a head start and has unique third party tools
