Articles published 10/2011
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Schwab and T. Rowe Price finally strike a OneSource deal with help from an ex-Fido exec
October 31, 2011 at 12:39 AMScott David has only just arrived at the Baltimore mutual fund giant from Fidelity in May and he's already pulled off a coup that was 20 years in the making
Fidelity gives its execs a one-day crash course in RIA practice management
October 31, 2011 at 12:37 AMAs a harbinger of a bigger initiative, the financial services giant called Mssrs. Skiles, Welling, Hurley and Rogers to a room in Boston
Five scary investment scenarios (and the likelihood that they will occur)
October 31, 2011 at 12:25 AMThe goblins still still lurk despite the massive October rally
What is the value proposition of a financial advisor -- and how is a budding RIA culture upping the ante?
October 28, 2011 at 2:56 PMIt goes to people's relationship with money
John Valentine has a NFL and Chevron-heavy client list but his RIA's growth was modest -- until now
October 28, 2011 at 2:52 AMThe San Ramon, Calif. firm is getting down to the nuts and bolts of expansion and switching to a fee-only model
Ryan Shanks and Ned Van Riper eHarmonize big-fee broker recruiting
October 27, 2011 at 3:47 AMJoinAFirm.com is expected to give independent firms more play by offering more options and keeping it casual
A crucial question for HNW clients: What is money for - and what should advisors do in response to the answer?
October 27, 2011 at 3:37 AMA Lindner Capital Advisors symposium recently answered some sticky questions with help from Meir Statman and others.
Why exactly Dave Loeper and a Smith Barney/E.F Hutton legend are teaming up
October 26, 2011 at 4:55 AMLeonard Reinhart has ideas about how to market the Richmond, Va.-based firm's patented technology - and alleviate strain
Startup firm bets its ETF research technology can cut out the middle man for advisors
October 26, 2011 at 4:46 AMFirst Bridge founder Aniket Ullal came from S&P and believes he can take on Lipper and Morningstar
TD Ameritrade chief calls RIA growth a significant factor in 44% 4Q surge
October 25, 2011 at 7:26 PMImproved technology geared at recruiting more RIAs and offering a greater breadth of products to long-term investors were cited as growth engines
Mike Durbin is putting his stamp on Fidelity as an RIA custodian for asset-flush breakaways
October 25, 2011 at 2:11 PMThe leader is working to improve its customer services as the custodian pours big bucks into upgrading its tech offerings
EISI strikes a deal to cash out its shareholders
October 25, 2011 at 2:42 AMThe buyer, Zywave, is a force in the property-and-casualty world
Fidelity lures a 'game-changing' West Coast practice-management star
October 24, 2011 at 5:16 AMLaura Kogen's eclectic skill-set, serious smarts and vivid personality make her a catch
Are ultra-high-net-worth clients really worth it?
October 24, 2011 at 5:11 AMYes, but excellence and profitability need to be weighed against these high-maintenance, resource-sucking and sometimes fickle people of means
The head of a $12 billion RIA spars with UBS and LPL execs on the great fiduciary debate
October 21, 2011 at 2:18 PMRetirement-plan leaders grapple with different degrees of fiduciary and how best to address advisors and clients
Casting a wider net for talent, HighTower poaches an MSSB branch manager
October 21, 2011 at 2:08 PMAfter three years of relentlessly recruiting brokers from Wall Street firms, the strategic buyer will go to wirehouses to top off its managerial talent
Why an Apple, Oracle and Credit Suisse veteran started again as an RIA
October 21, 2011 at 12:09 AMIn just two years, Lorraine Fox helped her firm grow to $300 million of AUM, with a boost from fellow Stanford alums
The advisor-to-401(k) business could be set back by Democrats and Republicans
October 21, 2011 at 12:08 AMNew measures could take away incentives to put money aside and make advisors shy away from the business
Fidelity is shopping for new head of sales after Scott Dell’Orfano is tapped for semi-secret mission
October 19, 2011 at 3:10 PMDell'Orfano and his team are developing product services and technology the better to lure major RIAs
Commonwealth edges out LPL to nab the $1.2 billion retirement firm just down the road
October 19, 2011 at 2:15 PMSummit Financial wanted greater pension expertise
Advisor newsletters: Compliance-wise, all news may not be fit to print
October 19, 2011 at 3:11 AMEven a photograph of a client may be viewed as a testimonial
Dynasty Financial wins the account of Lori Van Dusen's new RIA through Focus Financial
October 18, 2011 at 2:15 PMThe arrangement holds the possibility of a symbiotic advisor-vendor relationship between the wealth management platform and the big aggregator
RIAs and B-Ds don't mix, says Duane Thompson at MarketCounsel Summit 2011
October 18, 2011 at 3:25 AMTD's Tom Bradley delivers a caffeine jolt of good news about the growth of the RIA channel
What Messrs. Bruckenstein, Drucker and Veres cooked up in a Chicago airport hotel
October 18, 2011 at 3:20 AMThe pilot effort to make a T3-like event with heavy admixtures of wealth management and practice management looked good
Tamarac CEO: Mark Spangler's big trouble with the feds won't harm Tamarac
October 17, 2011 at 3:27 AMIt's a PR issue for the Seattle software dynamo after the the former NAPFA chairman, former Tamarac chairman and RIA faces a heavy SEC scrutiny and FBI investigation
The dark side of the 'good' regulatory changes get scrutinized at MarketCounsel Summit 2011
October 17, 2011 at 3:17 AMAdvisors may get much of what they wish for but in reality it may not be so good
What exactly is Fusion Advisor Network and who did it draw to Las Vegas last week
October 16, 2011 at 9:28 PMIts leader, Philip Palaveev brings advisors aspects of a a high-end consultancy, a roll-up and a yoga retreat
LPL's biggest advisor rallies his proteges Nebraska style
October 14, 2011 at 4:41 PMRon Carson brings his Peak members to his home base of Omaha and surprises them with a famous, and local, coach
Brian Hamburger answers the questions about an SRO future that has RIA stomachs in turmoil
October 14, 2011 at 5:01 AMThe MarketCounsel Summit undercurrent revolves around FINRA fears, so Dina Hampton put the compliance expert on the spot about how the scenario could unfold
Competing studies from FA Insight and IN/Moss Adams agree on one thing: RIAs face a picked-over market of client prospects
October 14, 2011 at 5:01 AMSlow growth is getting slower, firms are adding an employee and costs of RIA help are skyrocketing
10 things worth knowing from yesterday's Tiburon CEO Summit
October 13, 2011 at 3:03 PMChip Roame sugarcoats nothing and it keeps 150-plus top execs on the edge of their seats
At MarketCounsel Summit 2011, some hard-hitting speeches followed by 'Mohita Madness'
October 13, 2011 at 5:46 AMAfter hearing from industry heavyweights Mark Tibergien, Daniel Bernstein and MarketCounsel founder Brian Hamburger, it was time for a unique cocktail hour in a stunning setting
Macro-economic analysis comes to the everyday RIA, and is welcomed post-2008
October 12, 2011 at 4:39 AMStill not the kind of power an RIA would need to run a hedge-fund like operation, say analysts
MacroRisk Analytics makes Ph.D-grade economic insight almost RIA-friendly
October 12, 2011 at 4:34 AMPricing, user experience and value look good, but still no integration with portfolio management systems
Once good for a few million, TD Ameritrade's foot-in-the-door strategy is starting to net billions
October 11, 2011 at 5:42 AMWith the paperwork signed, TD goes to work wooing big RIAs with technology, special pricing and a maverick culture
Long a tech innard for Schwab, LPL and TD, Advisor Software is looking to push its own brand with new product
October 11, 2011 at 4:53 AMIts new software, goalgamiPro, is able to make sense of multiple housebold balance sheets and come out with a plan
What's happening at RIABiz this week and why it matters
October 10, 2011 at 4:08 AMWe've got our eye on TD Ameritrade's growth, do-it-yourself hedge fund analytics and two elite conferences starting Wednesday
Eavesdropping on a Fitch Solutions event in San Francisco
October 7, 2011 at 11:48 PMConcern for the economy runs high but the news isn't all bad
Big Chicago advisory firm exits Raymond James; forms its own RIA with Pershing
October 7, 2011 at 2:38 PMAfter a dozen years with the big broker-dealer, the group saw advantages to using NetX360 and working with Mark Tibergien
Two Texans talk turkey about moving from an IBD model to an RIA model
October 7, 2011 at 5:38 AMJeff McClure was able to bring Sean Kernan closer to his way of thinking by letting him in on his experiences
RIAs use Twitter to reflect on the life and legacy of Steve Jobs
October 6, 2011 at 2:56 PMThe innovator and entrepreneur compared to Edison
One woman's journey from Whole Foods to Edelman Financial
October 6, 2011 at 2:54 PMWhat do butternut squash and finance have in common?
Why many RIAs should start a mutual fund, considering the limitations of SMAs
October 6, 2011 at 2:36 PMA little daunting, sure, but advisors - especially ones geared to serving the mass affluent - will find the extra effort worth it
How RIAs describe exactly what they do in a few choice words
October 5, 2011 at 5:41 AMA selection of responses we received from folks in the RIA business
401(k) advisors get a lobbying voice in Washington
October 5, 2011 at 5:39 AMBut in these tough times, advisors are better served by a focus on practical solutions, CFDD president counters
What exactly is an RIA?
October 4, 2011 at 3:07 PMThe letters stand for registered investment advisor but then it gets complicated
Smelling blood on Wall Street, genteel family offices are using the 'S' word, study shows
October 4, 2011 at 3:07 PMA sales culture is being driven by competitve pressures and opportunities for fresh assets that are too tempting to pass up
LPL Financial names a strategy czar
October 4, 2011 at 1:42 PMThe big IBD puts Dan Arnold into the newly created position
Brightscope to launch Yelp-like reviews, putting advisors under the consumer microscope
October 3, 2011 at 4:38 AMThe iconoclastic Alfred brothers' latest innovation will give clients a voice - but experts and advisors fear compliance complications
How Rob Francais combined two giant RIAs and then added the assets of Deloitte Investment Advisors
October 3, 2011 at 4:30 AMKochis Fitz, Quintile Wealth Management and Deloitte are now $7.2 billion Aspiriant and there are more plans to grow -- carefully
