Articles published 8/2010
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Fidelity wins converts to WealthCentral, but most of its advisors have yet to make the switch
August 31, 2010 at 12:53 PMThe giant technology project is behind Fidelity's schedule but ahead of one analyst's expectations
Old foes in the fiduciary debate join new battle to sway SEC's six-month study
August 31, 2010 at 5:31 AMAdvocates were working down to the wire to submit comments by the end of yesterday
Contrasting two breakaways: one a success story, one a cautionary tale
August 30, 2010 at 4:24 AMOne broker lost 30% of his book. What can you do to avoid that fate?
What articles are brewing at RIABiz
August 30, 2010 at 4:24 AMA sweeping RIA study and big RIA technology are in our spotlights
How financial advisors should manage the record deluge of recruiter phone calls
August 27, 2010 at 2:00 AMPlus, how RIA firms can tell if they're retaining the right person to find candidates
The nine things Schwab's new study shows about how big RIAs are managing client assets
August 26, 2010 at 3:58 AMInflation fears have evaporated and advisor attitudes toward cash investments are bipolar
Two years after taking blame for Wall Street's crisis, structured products are finding a place in RIA portfolios
August 26, 2010 at 3:58 AMA column that makes the case for a much-maligned investment vehicle
What advisors should know about the next sweeping change: the switch from SEC oversight to state regulation
August 25, 2010 at 12:56 PMIt could impose most on advisors spread out across multiple states
9 things worth knowing from Schwab's newest advisor study
August 25, 2010 at 12:50 PMSocial media is not catching on with big advisors but alternative investments are
U.S. Trust advisor joins an RIA after surviving the firm's sale to Bank of America
August 24, 2010 at 5:48 AMStacey Reinhart joins Emerson Investment Management to get back to basics
How two big RIAs convinced two service providers to shift course on technology
August 24, 2010 at 5:45 AMTrust Company of America and Adhesion Wealth both listened to advisors with special requests
SEI turns a big corner but Genworth is still the big asset gatherer
August 23, 2010 at 7:54 AMThe top TAMP finally shows positive inflows after attracting double last year's new advisors
Notes from the RIABiz one-year anniversary party
August 23, 2010 at 7:13 AMThe spirit of the RIA Business was strong at this backyard event
Raymond James seeks to raise client experience without raising advisor hackles
August 20, 2010 at 5:09 AMThe job of Tim Killgoar is to have the corporation have its own positive relationship to end clients -- without infringing on its financial advisors
Cetera finds talent again at Schwab to fill national sales director position
August 20, 2010 at 1:42 AMBarnaby Grist taps former colleague Mark Palmer for big job
Advisor vs. Advisor: Two RIAs and two brokers advocate [a total of] four different ways of earning fees and caring for clients
August 19, 2010 at 4:19 AMComment boards: Advisors argue separately for principles-based care, non-principles-based care, 12(b)-1 fees and their eradication
One-Man Think Tank: A method for analyzing and comparing the costs and fees for mutual funds and ETFs
August 19, 2010 at 4:19 AMFees weigh down the performance of a fund. Why don't more advisors pay attention?
Signaling steady pace of breakaway broker movement, 20 new companies join the Broker Protocol
August 19, 2010 at 4:16 AMAmong them: Cambridge Wealth Management, The ETF Store, Nationwide Planning Associates, NPA Financial Services
[Updated] Former wealth manager for Montgomery Securities and Presidio Financial is remaking his [big] practice in wine country as an RIA
August 18, 2010 at 6:25 AMMichael Russo is signing clients and making hires from digs in Napa
Former head of private client unit at Thomas Weisel Partners joins an RIA
August 18, 2010 at 6:04 AMJeff Handy becomes part of Argos Wealth Advisors and reunites with old Montgomery Securities rainmaker
Fast take on growth: Five tips on marketing and sales strategies that work amid fears of a double-dip
August 17, 2010 at 9:10 PMFinancial Advisor's Summit speakers urge focus, authenticity -- and avoiding clichés. Don't say: We offer peace of mind.
Study: Variable annuity providers show some gains in tackling RIA market
August 17, 2010 at 3:48 AMCogent Research shows that RIAs gave VAs a chance in 2008 but the romance may be short-lived
Why some people are so rich that they can sustain a tax increase and maintain their lifestyle
August 17, 2010 at 3:46 AMThe merely rich really are not rich enough to pay more taxes but very, very rich people are, according to a New Yorker article
How Envestnet may use its IPO to speed growth
August 16, 2010 at 4:32 AMThe IPO cash positions it for capital-intensive deals and acqusitions, but the big TAMP may not be rushing in to anything
Advisor spotlight: Vern Sumnicht was determined to diversify -- but it cost him
August 16, 2010 at 4:29 AMInvestments in talent are beginning to bear fruit with a new firm that licenses model ETF portfolios
The top LPL producer has a second RIA-related company that could eclipse the stature of the first one
August 13, 2010 at 6:03 AMRon Carson started PEAK in 2001 and it's already grown to an impressive size
A cap on 12b(1) fees is going to have one predictable result. Think carnival games.
August 13, 2010 at 4:10 AMWhat consumers need is not a cap, but some sunshine to disinfect mutual funds
RIAs take short, BlackBerry-intensive vacations in the summer of 2010
August 12, 2010 at 3:51 AMTaking a break from the grind for advisors is more like business-lite as markets roil
What do advisors care about? The new SEC that emerged in July, for one thing.
August 12, 2010 at 3:50 AMPlus, what a Smith Barney breakaway team is finding out about financial plans
The 10 most likely contributors to the next market panic
August 11, 2010 at 4:29 PMCertain technical indicators point to a market bottom in seasonally weak September-October
Robert Levitt is building a big RIA practice in Florida from France and Indonesia
August 11, 2010 at 4:00 AMCustomers may pay a little more but get a very different investing approach
Advisor: Muni's no longer seem the deal they once did, but some deserve a look (even in California)
August 11, 2010 at 3:59 AMOne company's strategy for navigating a market that's grown more demanding
Can Silicon Valley rewire the RIA business? eBay investors think KaChing is the answer
August 10, 2010 at 3:48 AMVC-backed start-up leverages the web to offer complete transparency; firm also has a back-end platform it's offering RIAs for portfolio management
Four active marketing strategies that can lead to compliance trouble
August 10, 2010 at 3:47 AMHow far can RIAs go with advertisements? Part deux
Why Smith Barney is now the most target-rich environment for recruiters of breakaways
August 9, 2010 at 4:39 AMThe biggest wirehouse's changes in branches, compliance and culture have opened the vault door
Counterpoint: Intra-Wall Street recruiting by Morgan Stanley Smith Barney has picked up in the past 60 days
August 9, 2010 at 4:29 AMResults of reinvigorated efforts may show up on Labor Day
One-Man Think Tank: Inside the due diligence that uncovered serious questions about a REIT
August 9, 2010 at 4:21 AMRon's firm convinced an investor to sell his shares after an analysis that looked at the share redemption program
New regulatory world dawns with oppressive ADV Part 2 form
August 6, 2010 at 7:53 AMAdvisors were expecting it -- but that doesn't make it any more pleasant
10 fund wholesalers and executives offer views about how they seek to add value for RIAs
August 6, 2010 at 7:52 AMTo get advisors' respect and attention, these salesmen are morphing into consultants
Tech Review: iRebal thrives after TD Ameritrade acquisition
August 5, 2010 at 5:32 AMThe trailblazing rebalancer is tweaking its business model but staying focused on big RIAs
Happy [first] Birthday RIABiz
August 5, 2010 at 5:18 AMAfter a year of formation, it's full speed ahead
8 ways that the RIA business is achieving scale at breakneck speed
August 4, 2010 at 5:40 AMIPOs, venture capitalists, RIAs and big corporations are all spending heavily to make it easier for RIAs to become big business
The population of high net worth individuals is growing again, at fastest rate in four years
August 4, 2010 at 5:40 AMNew York remains king, but Houston is a fast-rising up-and-comer
HighTower wins big UBS team and clinches 'critical mass'
August 3, 2010 at 4:25 AMThe Chicago-based aggregator is breaking even and signing leases for more office space in three cities
Black Diamond nabs a Schwab veteran as it gears up for new service approach
August 3, 2010 at 2:53 AMFast-growing software provider is creating separate service team to transfer RIA performance history
No eff-ing way: Goldman professionals can’t email profanely?
August 2, 2010 at 5:15 AMThis is not a joke.
With England playing catch-up in becoming more RIA-like, George Kinder moves his family to Europe
August 2, 2010 at 5:13 AMDemand for knowledge of how to act like an RIA is 'popping' across the pond and so the Buddhist consultant is meeting it
