Articles published 1/2011
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Publish date
Fewer companies join Protocol as downsides emerge
January 31, 2011 at 3:45 PMRecruitment not a one-way street; a longer list means poaching within the RIA world becomes more likely
Goodbye to Bob Margolis, true friend of independent advisors
January 31, 2011 at 3:07 PMA regular contributor to RIABiz, Bob died in New York City earlier this month
The RIABiz list of winners and losers in the wake of the SEC's fiduciary study
January 28, 2011 at 1:17 PMThe race is on as laggards adapt to new vision of the future
Brian Stimpfl resurfaces in an entrepreneurial mode
January 28, 2011 at 1:17 PMThe TD Ameritrade fixture teams up with Spenser Segal at Actifi; he took a few yoga classes
Big advisors drive solid year for breakaway wins at Schwab, Fidelity, Pershing and TD
January 27, 2011 at 2:54 PMAggregators drive momentum in 2011
Sallie Krawcheck, A Recruiter’s Nightmare
January 27, 2011 at 2:52 PMCriticized and often at the center of a business storm, she has emerged as Wall Street's problem-solver -- and she's doing it again at Merrill Lynch
HighTower makes an executive out of a partner to fine-tune advisor access to investments
January 26, 2011 at 3:57 PMFormer UBS advisor will simplify the bewildering investment-related choices afforded by open architecture
Winter winds hitting bond investors, China takes a pass, alternatives posted strong gains: Morningstar data
January 26, 2011 at 3:56 PMBut fund categories that bond investors tend to favor when 'reaching for yield' were up nicely in December
Investing in the Digital Age: Why real-time data is a must-have for RIAs and long-term investors
January 26, 2011 at 3:18 PMThe investment industry has created a classist system of haves and have-nots when it comes to information
Dynasty Financial Partners ends legal squabble with Bank of America, clearing deck for growth
January 25, 2011 at 3:18 PMThe high-profile startup may have passed up chance to win its case, an attorney says
In a triple merger, fast-growing Florida RIA scoops up an LPL advisor and a fellow asset manager to double firm size
January 25, 2011 at 3:16 PMMore deals involving IBD advisors on the horizon as shift to fees makes combinations possible
How a big Atlanta RIA kept sledding with technology after snow paralyzed the city
January 25, 2011 at 2:40 PMWhere snow shovels left off, laptops, iPads, iPhones, NetX360 and some forethought took over
IBD reps are new wave of breakaways to the RIA channel, say some recruiters and custodians
January 24, 2011 at 3:22 PMSchwab has a 45% jump in IBD teams in 2010; others see a similar trend
(Updated) Groundbreaking SEC study would smash old regulatory system, creating fiduciary brokers and more regulated advisors
January 24, 2011 at 3:16 PMControversy and conflict emerge as SIFMA, Schwab and others begin to react
One-Man Think Tank: SEC courage likely to be tested in coming months
January 24, 2011 at 2:54 PMStudy on fiduciary standard may be the most significant advance for investor protection in a half-century, but real progress will be made rule by rule
Six things to know about this week's big DC news
January 21, 2011 at 2:37 PMRIAs have the winning business model, but also more competition
Folio Institutional finds its winning formula for RIA custody in specialized trading technology
January 21, 2011 at 2:23 PMAbility to allow advisors purchases of partial shares has applications in 401(k), model portfolios and investments in Berkshire Hathaway
How 10 top groups define 'fiduciary'
January 21, 2011 at 4:24 AMObama administration, SEC, FINRA, FPA, fi360, U.S. Supreme Court and SIFMA raise fiduciary bar to different heights
With a rebound in net flows from its biggest advisors, Schwab finishes 2010 with a flourish
January 20, 2011 at 2:36 PMFidelity Institutional Wealth Services records a $100 billion asset jump
(Updated) SEC presses case for user fees in much-anticipated report to Congress
January 20, 2011 at 2:36 PMWhile giving downsides for the idea of an SRO to govern advisors, the SEC opens the door for Congress to consider all options
Considering hosting a radio show? The SEC may tune in.
January 20, 2011 at 2:30 PMRadio programs and commercials pose compliance complications. Disclosure helps.
GAO study puts insurance agents up for scrutiny as it rejects idea of sweeping RIAs, b-ds, planners into one regulatory pool
January 19, 2011 at 3:51 PMA disappointment to those advocating for a financial planning profession, the study details the hodgepodge of regulation without recommending major changes
After two years of defying the odds, Gordon Murray, co-author of The Investment Answer, dies of cancer
January 19, 2011 at 2:46 PMThe DFA acoloyte helped take his book from idea to publishing phenomenon in six months
RIAs are hiring like crazy in 2011 but sticker shock, picked-over talent pool may await laggards
January 18, 2011 at 2:56 PMThe recession was so deep this time around that advisors may find good talent in the bread lines
Asset Dedication, Mariner Holdings, California Investment Trust and BondDesk make key hires
January 18, 2011 at 2:48 PMHiring moves by advisory business firms show labor market is picking up
Advisor spotlight: How one advisor is building his practice to sustain a three-year sailing sabbatical
January 18, 2011 at 2:28 PMHaving built two businesses and a $450 million book with a partner, Scott Leonard has made himself intentionally irrelevant now
What advisors care about: technology, hiring, Schwab's lawsuit against a broker hit top RIABiz stories this month
January 17, 2011 at 4:18 PMA new platform for alternative assets, plus the regulatory moves expected this year also make the list
The basic ETF trading practices that can save your clients money
January 17, 2011 at 2:15 PMHow NAV-based trading will change the market
Schwab takes high-profile stand opposing self-regulatory organization for advisors
January 14, 2011 at 3:09 PMLargest custodian opposes FINRA on heavily lobbied issue
Advisory factions steel for end game as SEC's verdict on FINRA SRO comes down
January 14, 2011 at 3:05 PMAs action moves to Congress, a flurry of meetings and Schwab's appearance
Fidelity teams with Manpower to bolster RIA efforts to staff up
January 14, 2011 at 1:33 PMCustodians see advisory firms in hiring mode
United Capital scoops up a $1.6 billion wealth manager from M&T
January 13, 2011 at 2:20 PMQuick, efficient deal, aided by top investment banker, may be the blueprint for growth-by-chunks for California aggregator
In the duel of FINRA vs. state courts, one comes out on top for most advisors
January 13, 2011 at 2:19 PMRarely seen stats shed light on whether you are more likely to win in arbitration
After one-year hiatus, Focus Financial buys a large RIA and hits a milestone
January 12, 2011 at 5:40 PMThe deal brings it to $40 billion as the company makes a big Midwest push
YieldPlus fallout darkens advisors' view of Schwab as asset manager
January 12, 2011 at 3:14 PMLoyal custodial clients are skeptical after settlement and fraud charges
How Schwab failed to block one broker's breakaway and what the legal battle may mean for the future
January 11, 2011 at 2:53 PMIndustry insiders say they're stunned by a recent courthouse loss
Rich Saperstein helps establish new strategy for HighTower Advisors as he transforms his own $10 billion practice
January 11, 2011 at 2:51 PMNew York practice executes first 'tuck-in' with addition of Steve Bogner
Advisor Tested: iPad proves ideal for advisors on-the-go; the surprise is the effect on clients
January 10, 2011 at 3:01 PMThe rock star of the mobile world evolves into a tool for reassurance and retention
Top marketing trends for 2011, and checklists for handling each
January 10, 2011 at 2:54 PMIn the new year, sharpen your planning for staff turnover, prospecting, client communication
Former Moss Adams star begins to taste success in the 'real' world
January 7, 2011 at 1:54 PMPhilip Palaveev's Fusion Network finds revenue momentum and wins proselytizing advisors
The 7 government actions that could reshape the advisory business in 2011
January 7, 2011 at 1:49 PMFunding may derail some grand plans, but regulations roll on (and so do tax threats)
One killer Roth conversion strategy in seeking a single-digit tax return
January 7, 2011 at 1:43 PMUnderlying the approach: The government has provided an option to “unconvert” converted Roths
Orion Advisor Services goes mobile with advisor-branded apps for the iPhone and Android
January 6, 2011 at 2:22 PMApp relies heavily on HTML5, in line with the trend for portfolio management mobile applications
How Orion Advisor Services became a mobile device pioneer and how competitors plan to react
January 6, 2011 at 2:19 PMThe first-mover edge may hold for a while for Black Diamond and Orion
How 25 pieces of web content from 2010 should guide an advisor's digital approach for 2011
January 6, 2011 at 2:19 PMTop research, analysis and marketing that help humanize the financial services business are among Pat Allen's choices
Buckingham expedites turnkey 401(k) strategy by buying a fellow DFA TAMP
January 5, 2011 at 2:47 PMCompetitors for advisors' business (like that little company, Fidelity) aren't sitting still as demand surges
Envestnet deepens relationship with PIMCO, BlackRock and other big guns of investment management
January 5, 2011 at 2:47 PMWirehouse broker demand and the TAMP's critical mass help usher in the changes
Big Midwestern RIA buys itself a national presence in deal with CBIZ
January 4, 2011 at 3:07 PMMariner Holdings passes $8 billion of AUM; still eyeing $50 billion
Advisor spotlight: A Chicagoland RIA shows how to weave a business out of revenue-sharing deals
January 4, 2011 at 3:07 PMDavid Hubbard thinks of himself as Johnny Appleseed, devising business plans to help fellow advisors grow
U.S. Trust seeks to add hundreds of wealth managers with West Coast-facing poaching campaign
January 3, 2011 at 2:39 PMThe challenges are obvious, but with Thong Nguyen directing the effort, the Old Money bank stands a chance in the land of nouveau riche, analysts say
U.S. Trust’s latest hires and what’s expected of them
January 3, 2011 at 2:39 PMThe venerable institution is promising a better life but no wirehouse-style bonuses
RIABiz stories find a second home on one of the Internet's biggest news sites
January 3, 2011 at 2:38 PMWhy that's good news for advisors, too
