Articles published 12/2011
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Top 10 ways financial advisers can 'market smarter' -- and enjoy it more in 2012
December 30, 2011 at 3:38 AMDeveloping a niche clientele will broaden, not narrow, your client base and can make your practice more profitable and pleasurable
Three items of RIA interest
December 29, 2011 at 4:13 PMFidelity study shows 70% of recent widows fire their advisors, Commonwealth and embattled PIEtech strike a deal and Modera Wealth brings aboard a senior planning specialist
The state of the 2011 investment landscape and how it bodes for 2012
December 29, 2011 at 4:10 PMWe're still nursing a long-term hangover from 2008 but there are some stealthy signs of recovery
Early adopters of social media, RIAs are growing disenchanted with its power to drum up new business
December 29, 2011 at 4:08 PMAdvisors must become better marketers before they can optimize social media, experts say
An East Coast editor travels to the Bay Area to see the RIABiz team in action
December 29, 2011 at 3:59 PMIn which your correspondent sees the day-to-day operations of RIABiz, not to mention a coyote
Fidelity and Schwab donor-advised funds boast banner years
December 28, 2011 at 2:55 PMAn up-trend in the markets has fueled giving to the charitable vehicles -- and RIAs are reaping some of the benefits
Braving 'garden leave' vagaries, Glenmede ramps up New York office by luring managing director from U.S. Trust
December 23, 2011 at 2:23 PMHow much of the $1.5 billion in assets Jonathan Stanley oversaw will follow him to Glenmede is up in the air due to U.S. Trust's 60-day policy and other factors
RIABiz counts down to Christmas in Maine, Oregon, Indiana, New York, Seattle and San Anselmo, CA
December 23, 2011 at 2:02 AMWe're wrapping up our reviews of 2011, drinking egg nog and occupying an RIA
How some RIAs are starting to end up with Raymond James as their custodian
December 22, 2011 at 4:01 PMFive are joining RJ from a Buffalo, NY B-D that is closing its doors after 80 years
Can the behavior of RIA clients be changed? Yes ... but
December 22, 2011 at 3:37 AMA financial advisor may need neuroeconomics, clinical psychology, and behavioral finance to counter credit-care vacations and speculation
What one recruiter learned about Schwab's franchises after talking to Mary
December 21, 2011 at 3:55 PMInitially skeptical, on closer inspection and after talking to Schwab's first franchisee, our correspondent sees a real value proposition in the offing
Morningstar explains its new forward-looking rating system -- and tosses in some hot fund picks for good measure
December 21, 2011 at 12:46 PMThe Chicago-based firm adds Gold, Silver, Bronze, Neutral and Negative ratings to its rear-view-facing constellation of stars
How LPL's biggest branch office added $3.5 billion this year by beating LPL itself with a key service
December 20, 2011 at 4:33 AMPrivate Advisor Group brought 22 compliance-minded advisors onboard this month alone to its RIA -- all with the blessing and help of its big IBD partner
The truth about hedge fund risk
December 20, 2011 at 4:30 AMForget tail statistics -- the point is to focus on manager preparedness for surprises early on in the process of investor due diligence
How Black Diamond is faring as a unit of Advent Software
December 19, 2011 at 3:49 AMSigns are very good though at a cost because of the sales structure
A chief investment strategist asks: Exactly how efficient is holiday gift shopping?
December 19, 2011 at 3:48 AMMore efficient than buying lunch on the company account by Milton Friedman's reckoning -- but it's better not to think about it Tiffany's counter
FINRA attacks Boston Consulting Group over SRO study
December 16, 2011 at 7:05 AMBCG sticks to its guns saying that the double-dip cost of SEC oversight makes any FINRA numbers moot
With FundQuest off its plate, Envestnet is ready for a helping of new deals
December 16, 2011 at 7:02 AMThe Chicago outsourcer has IPO cash, deal experience and an appetite for growth
Creating an SRO would cost 100% more than SEC exam program, study shows
December 15, 2011 at 6:20 PMFINRA calls the findings 'wildly inflated'
How a B-D with its own RIA -- and a strict door policy -- went from $1 billion to $2 billion AUM in a year
December 15, 2011 at 4:05 PMJHS Capital Advisors screens advisors using an ethical litmus test and is looking to expand throughout the U.S.
One California RIA gathers about $40 million of assets monthly by tapping institutions
December 15, 2011 at 6:35 AMFounder and CIO of Saratoga Research & Investment Management concentrates on generating primo returns in the quest for $2 billion of AUM
Charles Goldman will give a speech and Shareholders Service Group will make noise in the marketplace
December 14, 2011 at 4:04 PMOver 300 independent RIAs are expected in San Diego along with Spenser Segal, Lou Stanasolovich, Bob Veres and Norm Boone
And they're off! Schwab opens the doors to its first independent franchise ... in New Hampshire
December 14, 2011 at 11:55 AMEx-wirehouse advisor and teacher Mary Murphy puts her toe in the water, perhaps leading the way
Orion wins a $2-billion RIA account from Advent after two very long drives across the prairie
December 13, 2011 at 5:03 AMThe second round-trip Omaha-to-Kansas City drive -- three years after the first -- led to the win of Mariner Wealth Advisors' private client assets
Eighteen months after the fight of his life, an advisor raises more money for a Leukemia cure
December 13, 2011 at 4:50 AMJohn Hyland helped transition his firm from his hospital bed and is now training for an Ironman race
State Street's semi-secret success in the RIA custody business
December 12, 2011 at 6:28 AMThe Boston-based giant typically services RIAs with $1 billion or more in assets - RIAs so big they have their own technology
Are Schwab’s independent branches an opportunity or a threat to RIAs?
December 9, 2011 at 4:03 PMFor RIAs with financially profitable practices that meet their lifestyle needs, I think owning a franchise would take them back a few steps.
Big Midwestern RIA hires away a Fidelity exec to realize its $50 billion plan
December 9, 2011 at 5:20 AMMariner Wealth Advisors has reached a critical size where professional management is called for
With Dick Averitt retiring, Raymond James taps a star from within to take on LPL
December 8, 2011 at 6:13 AMScott Curtis' background includes GE Financial, Raymond James and life as the son of a Dartmouth coach
Four on the floor: Items of interest to RIAs this week
December 8, 2011 at 6:05 AMRussell defines the RIA-client gap, the latest from Loeper's Wealthcare, Vanguard halves a fund fee and FOX announces a make-your-own-family-office seminar
Jefferson National passes the $1 billion mark selling annuities to the advisors who 'hate' them most
December 7, 2011 at 4:10 PMThe insurer's pared down, flat-fee product garners praise through gritted RIA teeth
How a former Barron's top advisor was able to offload 350 clients and raise profits after leaving UBS
December 7, 2011 at 7:37 AMThe wirehouse breakaway finds he also has a new social status and the ability to win $19-million clients
LPL and Fortigent may be cooking up a merger, sources say
December 6, 2011 at 8:01 AMA strategic alliance could give LPL access to VIP RIAs and make Fortigent's highly customized offerings more profitable
Advisor Tested: HiddenLevers roots out hidden connections between world events and client portfolios
December 6, 2011 at 6:08 AMTen months in, we talk with two early adopters who are using the tool to check out what-if scenarios like 'Eurozone collapse' to create their what-if scenarios
Attack of the killer app: Dynasty targets the corner-office broker by combining Envestnet and Callan
December 5, 2011 at 4:28 AMCheap research, big manager access and smooth technology may prove a magnetic force
Why RIA videos are especially fraught with regulatory pitfalls
December 5, 2011 at 4:21 AMThe productions are expensive so check with the CCO before rolling the cameras
Dan Goldie tells how his NY Times bestselling book has changed his practice, and how his co-author affected his life
December 2, 2011 at 7:46 AMThe ex-tennis pro now has windfall prospects but still structures his RIA firm so he can spend all his time with clients
Picking through the ETF pile for some relatively safe high yields
December 2, 2011 at 7:44 AMLow-cost, income-oriented exchange based products may be the real story in next-gen ETFs
Starting 2012 with a bang, Schwab will place its private client business under a new RIA
December 1, 2011 at 7:56 PMThe Bay Area firm says it's making the move to avoid compliance clashes with ERISA; others say Schwab's riding the coattails of the RIA movement
Frank Maiorano is out at Trust Company of America and board member is named new CEO
December 1, 2011 at 3:34 PMThe Colorado-based RIA custodian is putting a ski resort executive, David Barry, in the chief executive spot
