Articles published 3/2011
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First Allied pushes the advisory envelope with hire of LPL executive
March 31, 2011 at 2:14 PMYanni Bousnakis will help Matt McGinness fashion a way for advisors to manage on a discretionary basis at the IBD
How ETF Trends' Tom Lydon went from blog writer to hirer of veteran Dow Jones talent
March 30, 2011 at 2:52 PMLooks to double content, reach traders and build on 17,000 subscribers
Advisor spotlight: TD Ameritrade referrals help turn quiet advisory into a fast-growth operation
March 30, 2011 at 2:45 PMChatham Wealth Management doubles assets in two years
How suitable are your investment strategies? The SEC cares, a lot.
March 30, 2011 at 2:19 PMNew ADV form heightens attention to the issue
Virtually all big IBD reps covet the independent RIA life, Schwab study says
March 29, 2011 at 1:31 PMSchwab's Bernie Clark and TD's Tom Nally see IBD reps undergoing a palpable mood switch, but Fidelity's Mike Durbin and Pershing's Mark Tibergien are unconvinced
Wake-up call: ETFs feel the heat of NASSA's exotics panel
March 29, 2011 at 1:26 PMBeloved for their stellar qualities by RIAs, they are nonetheless the casino chip du jour for many traders
Envestnet to zero in on RIAs and family offices
March 28, 2011 at 2:18 PMTwo new hires from Fidelity's National Financial and Fortgent LLC reflect the outsourcer's strategic direction
Bob Veres' level-headed response to Mark Hurley on valuation
March 28, 2011 at 2:10 PMConflicts of interest are culprits in the extreme positions being taken in the debate, he says
Radio-star RIAs drive giant growth at national chains one $400,000 investor at a time
March 25, 2011 at 1:12 PMEdelman and Mutual Fund Store each surpass $6 billion of assets and, post-recession, they're throwing up stores with abandon
A hockey star went from being a Merrill Lynch client to a Merrill Lynch advisor to the latest Merrill Lynch breakaway
March 25, 2011 at 1:11 PMDespite misgivings for 20 years, Dave Emma stayed largely for the culture and then Bank of America came along
How capture ratios can help you prepare for the next downturn
March 25, 2011 at 1:06 PMA tool little noticed by investors can help you determine which investment style works in which market
In a Q&A, Todd Thomson explains why Wall Street's glitter faded beside Dynasty opportunity
March 24, 2011 at 2:51 PMThe former Smith Barney chief is mentoring his young colleagues and raising capital from Wall Street veterans
RIABiz goes to New York in search of RIA life in the land of investment banking giants
March 24, 2011 at 2:29 PMThe ambitions of Dynasty Financial's Shirl Penney and Focus Financial's Rudy Adolf match the city's scale
Junxure moving to the cloud amid market pressures
March 23, 2011 at 2:18 PMIn an unusual move, CRM Software's Greg Friedman pre-announces the product release by nearly a year
Mark Hurley takes on Bob Veres in round two of the valuation debate
March 23, 2011 at 2:00 PMVeres 'fanned the flames' but didn't account for certain key points, like the rising cost of labor and the expense of winning new clients, says Hurley
Fidelity slips in ahead of Pershing on Google phones with WealthCentral for Android
March 22, 2011 at 2:52 PMFunctionality is just like the iPhone version, with no mobile trading yet
MarketCounsel buys Beneficial Concepts Group with an eye toward calming smaller RIAs' compliance fears
March 22, 2011 at 2:26 PMBrian Hamburger believes new regulatory challenges require new approach
Is your alpha big enough to cover its taxes? A classic journal article, revisited
March 22, 2011 at 2:20 PMStill true, nearly 20 years later: The lack of tax-savvy among advisors hurts clients
E*TRADE unwinds its RIA roll-up, and a giant RIA rises in the Boston burbs
March 21, 2011 at 2:53 PMMark Hurley chips in the cash and Liz Nesvold sells Kobren for a second time
Advisor Spotlight: Monument Wealth Management shows that A-plus office space isn't just for ad agencies and law firms
March 21, 2011 at 2:34 PMThe former Merrill brokers moved to a bedroom community but kept the urban chic
Cetera's big fee move with a game-changing twist
March 18, 2011 at 1:51 PMBarnaby Grist has been laying the groundwork for the incentives change for a year
The ABCs of doing due diligence on fixed income annuities
March 18, 2011 at 1:44 PMState regulators are stepping up as the SEC, reigned in by Dodd Frank, retreats on regulation of fixed income annuities
Merion Wealth Partners, Cambridge Investment Research and Mariner Holdings make hires with big-league experience
March 18, 2011 at 1:35 PMNew employees come from Envestnet, Janus and JPMorgan
Black Diamond wins a $4-billion RIA right in Advent's backyard
March 17, 2011 at 2:17 PMPresidio execs said they appreciated Peter Hess's involvement, but passed on fellow San Francisco firm
How BlackRock plans to grow iShares using advisors as one key
March 16, 2011 at 2:50 PMThe New York powerhouse will focus on helping RIAs that are heavy users to succeed
Would the intern buy an ETF?
March 16, 2011 at 2:49 PMAfter an investigation into ETFs, Matt Robinson, RIABiz's intern from the fall, says he wants the low-stress approach to investing
Advisor Tested: Top iPad apps for RIAs
March 16, 2011 at 2:32 PMDragon Dictation, Time Tracker and, surprisingly, iTunes are among those cited by advisors
Bob Veres adds his bottom line to valuation debate started by Mark Hurley
March 15, 2011 at 12:30 PMIf you build it, what will they buy it for?
Pershing keeps ahead in the mobile space with an Android app and mobile trading
March 15, 2011 at 12:30 PMThe adoption rate by advisors is still very small but the big clearing is undeterred
Commonwealth raises payouts for big advisors and slashes trading commissions
March 14, 2011 at 2:09 PMThe IBD is competing with LPL, holding ground against RIAs and flexing its muscles, analysts say
Investing In the Digital Age: How RIAs could start a free-data revolution and why it won't bankrupt the vendors
March 14, 2011 at 1:55 PMData suppliers and software vendors in the investment space are the biggest laggards
Tsunami hits RIABiz and hits home
March 12, 2011 at 12:58 AMThe wave struck my houseboat but its potency lay in the psychic effect
Once-sleepy National Advisors Trust has a sparkling year for net new assets
March 11, 2011 at 3:29 PMThe RIA-owned firm is getting a boost from the SEC's Madoff-inspired custody rule, a new CEO and its own critical mass
Eavesdropping on the IAA: JP Morgan exec challenges advisors on FINRA
March 11, 2011 at 3:26 PMSRO remains overarching concern; many advisors haven't finished their ADVs; anxiety rises about 'the switch'
TAMP assets came easily to Genworth, Envestnet and Loring Ward in 2010 and the fourth quarter sizzled
March 10, 2011 at 5:38 AMGiant SEI had a big turnaround but ended on a down quarter
Mississippi lawyer Mercer Bullard volunteers to form an RIA SRO and nobody's laughing it off
March 10, 2011 at 5:37 AMIAA won't join forces; annual cost to run an SRO could top $150 million
Giant of the broker-dealer tech world takes aim at Advent
March 9, 2011 at 3:21 PMVestmark tailors its platform for RIAs to take advantage of breakaway trends
Hellish memories: Advisors recall rock bottom, March 9, 2009
March 9, 2011 at 3:18 PMOn the day a zero-market seemed possible, sleep-deprived advisors tried to stop their clients from bailing out. Sometimes they failed.
A Q&A with Phyllis Borzi, the DoL powerbroker aiming to remake the retirement market
March 8, 2011 at 3:24 PMBorzi says she is pushing through Bush administration initiatives; her expansion of the fiduciary standard is drawing ire
Milwaukee Wealth Management was born when Jeff Geygan's investing strategy hit the UBS wall
March 8, 2011 at 2:42 PMA value devotee, his picks at times conflicted with the wirehouse's research department
What not to do during a state or SEC audit
March 8, 2011 at 2:37 PMThe four tempting -- but ultimately counterproductive -- tacts advisors sometimes take
Cambridge, Commonwealth see reverse breakaways due to compliance fears
March 7, 2011 at 1:29 PMSome IBDs are morphing into Super RIAs that make money by charging for oversight of fee-based assets
New Fidelity survey shows advisors are running scared about compliance costs
March 7, 2011 at 1:28 PMRIAs, compliance experts and a research group diverge wildly on future costs but a baseline increase in the single-digit thousands seems inevitable
Eavesdropping on the FPA Business Solutions conference: Mobile apps, web-based marketing -- and how you can make the most of the connected world
March 7, 2011 at 1:26 PMAt the conference-within-a-conference, advisors explored a tech ecosystem
Fidelity launches gigantic referral database to give advisors a shortcut to wealthy prospects
March 4, 2011 at 3:30 PMAdvisors gain from referrals, but hate asking for them
Beacon Pointe launches advisor-aggregating effort with first deal in Arizona
March 3, 2011 at 6:34 PMTD Ameritrade is 'in the foxhole' in this venture and will send many referrals to these advisors
West Coast talent grab: Cetera hires an LPL exec and Presidio Financial makes a big hire from NY-based Offit
March 3, 2011 at 3:29 PMAllison Couch and Paul Boscacci get recruited; their new employers have well-publicized growth plans
Walt Bettinger's big moves drew RIABiz readers in February
March 3, 2011 at 3:15 PMTD Ameritrade's sunny conference also made the top 10 in February, along with a retirement-world story that seems a harbinger of a changing market
How LPL lured advisors from Raymond James, UBS and Ameriprise to its hybrid RIA platform
March 2, 2011 at 3:00 PMThe big IBD is rapidly growing an RIA custody unit with advisors who want to do fee business in a brokerage environment
DOL's proposal puts the screws to legacy 401(k) providers
March 2, 2011 at 2:31 PMAs SPARK, SIFMA, others cry foul at yesterday's hearing, RIAs may be sitting pretty with the right fiduciary framework in place
Pershing study: Why the IBD talent market is headed for trouble and what might reverse the trend
March 1, 2011 at 6:12 AMAs broker-dealers lose reps, they all have the same strategy for replacement: poaching each other
How MetLife Securities may use one new Philly rep to boost talent retention and development
March 1, 2011 at 6:10 AMFirstrust Financial has cracked the code of collaborating with a community bank
One-Man Think Tank: Four red flags in the SEC's fiduciary report
March 1, 2011 at 6:09 AMThe standard may help right an economy overweighted by finance, but there's a strong chance Wall Street will block it
