Articles published 5/2011
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Publish date
Family Office Exchange is betting that RIAs and the ultra-affluent can't get enough of each other
May 31, 2011 at 1:38 PMFOX sees niche as big RIAs fill fiduciary void, banks lose their hegemony and the economy mints more ultra-affluent investors
LPL brings aboard a godfather of clearing business
May 27, 2011 at 2:38 PMDavid Akellian left his position as RIA chief of Stifel Nicolas yesterday and is jumping to the IBD giant to diversify its business model
LPL's chief marketing officer departs
May 27, 2011 at 2:37 PMRuth Papazian made her mark in four years
How a solo RIA sold his 20-year DFA-based practice to an IBD rep
May 27, 2011 at 2:32 PMReady to call it quits but with no plan, Peter Langer found an unlikely white knight
TD Ameritrade launches an effort to develop women advisors
May 26, 2011 at 2:09 PMSchwab and Fidelity do not share the philosophy of specifically targeting female RIAs - and female investors
Eavesdropping on the NAPFA's pre-conference Women's Initiative
May 26, 2011 at 2:08 PMA daylong 'conversation café' emphasized communication, leadership and personal presentation; some guys crashed the party
Seen, heard - and tweeted - at the NAPFA conference
May 26, 2011 at 2:08 PMA bustling social scene at Salt Lake City
After tortoise-like beginnings, AssetBook is now on-the-hop in portfolio management software
May 25, 2011 at 1:51 PMRob Major takes what he learned in building Techfi to make AssetBook a functional, no-frills system
NAPFA conference hits hopeful note as members look to the future
May 25, 2011 at 1:50 PMUnfazed by venue change, advisors mixed, mingled, blogged and tweeted their way through the three-day meeting
LPL has a new high-margin, high accolade advisory platform but SAM's sticking around
May 24, 2011 at 3:21 PMUnder Model Wealth Portfolios, the advisor stops picking investments, but they still pick strategies.
Purchasing too much technology has its own dangers for RIAs
May 24, 2011 at 2:00 PMThe more sophisticated the system you buy, the more commitment and expertise it will require
After AIG presses for new deal, SEI unbundles TAMP offerings
May 23, 2011 at 1:51 PMThe arrangement between the companies had endured a multi-year "dormancy"
Five reasons for RIAs to think more like Goldman Sachs about businesses owned by clients
May 23, 2011 at 1:39 PMThe majority of the baby boomers’ wealth is held in the form of privately owned companies and monetizing them is an opportunity
'Chuck' Schwab, Tony Blair to headline IMPACT 2011
May 20, 2011 at 2:37 PMA former leader of the free world? Cool. But bring on Chuck!
Three suddenly-bigger RIAs explain what sparked the growth
May 20, 2011 at 2:34 PMMichael Ball, Michael Walters and Robbie Cannon tell their stories at Trust Company of America web event
Envestnet and other TAMPs keep the asset train rolling in the first quarter
May 19, 2011 at 3:21 PMGenworth had a rare deceleration in net flows but it'll be short-lived after a new product launch, according to Gurinder Ahluwalia
Five ways that big, savvy RIAs are winning clients online
May 19, 2011 at 2:30 PMIt starts with web content and ends with reasonable expectations about compliance and LinkedIn
How a top Royal Alliance advisor is selling his practice to young staffers
May 18, 2011 at 3:38 PMFirst Steve Cassaday cloned himself then he began executing his succession plan
IMCA delivers sobering content in high-rolling atmosphere of Las Vegas
May 18, 2011 at 3:22 PMShiller's downer message was tempered by Ben Mezrich; the conference buzz was the Advent-Black Diamond deal
Why Joe Duran believes that classic RIA firms face extinction
May 17, 2011 at 2:47 PMBaby Boomers' expectations and rising technology could put a new squeeze on the old model
Step-by-step on finding a platform for alternative investments
May 17, 2011 at 2:46 PMA guide to assessing solutions to meet rising demand from high net worth clients
A blessing from Charles Goldman helped seal the Advent-Black Diamond deal
May 16, 2011 at 2:19 PMExecutives were ready to pull the trigger but wanted reassurances about how elements of the RIA market would react
Cetera spends millions on rebalancing software to make its reps more RIA-like
May 16, 2011 at 1:53 PMAutomation of investment management using Folio Dynamix follows Advent implementation
Why Advent and Black Diamond are merging and how advisors look at the deal
May 13, 2011 at 2:27 PMThe rival software makers hit it off after their top execs had a February phone call
Why compliance experts are apt to dislike Facebook
May 13, 2011 at 1:08 PMWhen does a click constitute an endorsement?
Advent to buy Black Diamond for $73 million
May 12, 2011 at 9:32 PMThe big San Francisco provider will purchase one of its scrappiest competitors
FiNet's wirehouse-lite model scores with advisors
May 12, 2011 at 2:27 PMInvestment in recruiting pays off with highest average assets among IBDs
BrightScope debate has familiar feel of an industry being dragged kicking and screaming into the new world
May 12, 2011 at 1:58 PMInvesting in the Digital Age: Andy Rachleff writes about the freight train of transparency
Fidelity holds exclusive annual conference and gets an unforeseen jolt of energy from Bin Laden's death
May 11, 2011 at 2:49 PMAdvisors were happy to have Bill Clinton, Fareed Zakaria and other experts on hand for perspective
Why smart diversification and risk management are your best friends
May 11, 2011 at 2:40 PMEarnings season gave stocks a reason to rally in April; healthcare and European funds lead pack
Fidelity steps up effort to bestow its marketing magic on RIAs
May 10, 2011 at 2:21 PMSchwab, Pershing and TD Ameritrade are all quietly amping advisors to win new business, too
The overlooked option for breakaways: tucking-in
May 10, 2011 at 2:20 PMA new channel to independence emerges, complete with soft-landing service providers
HighTower wins a Palm Desert Merrill Lynch team in lightning fashion
May 9, 2011 at 2:41 PMAmidei, a former gas station owner and bond trader, knew what he wanted and acted fast
Focus Financial pivots to breakaway strategy with Fidelity recruit
May 9, 2011 at 2:40 PMMark Dupont will put a new spin on the big aggregator but entrepreneurial bent remains
Cambridge, Commonwealth vault advisors into social media; the boost is mostly free, for now
May 6, 2011 at 2:04 PMWill partnerships with, respectively, Socialware and Erado, translate into elusive growth-via-networking?
Eavesdropping: Ron Carson gets an electric reception at his PEAK event, and calms the waters surrounding his new RIA
May 6, 2011 at 1:53 PMA peek inside the Excell conference
Fidelity nabs a top LPL RIA executive for new ultra-affluent unit
May 5, 2011 at 2:52 PMTrevor Norton will lead Fidelity's drive to bring white glove services to giant clients of RIAs
Under fire, BrightScope says it will allow advisors to update simple information for free
May 5, 2011 at 2:52 PMCompany slams SEC as obstructionist
Why exactly is Ron Carson forming an RIA and why is it happening now?
May 4, 2011 at 3:08 PMLPL still works as a custodian for his $3-billion practice, but the lack of custodial flexibility was hurting his plan to bring on scores of new partner firms
M&A market reaching a new normal based on RIA-driven deals, say competing reports from Pershing, Schwab
May 4, 2011 at 3:08 PMSchwab data contradicts the report on the surface but also shows fewer big, traditional deals
When dreams of sudden riches turn to nightmares, there are answers for clients and advisors
May 3, 2011 at 2:44 PMA special compassion and knowledge is required for people who get what we think they want
Why women just aren't buying what financial advisors are selling
May 3, 2011 at 1:46 PMSlick and smooth won't win trust, Spectrum study shows, and improving results are too little, too late
BrightScope sticks to its guns as it responds to outspoken critics of its Advisor Pages
May 2, 2011 at 1:18 PMThe San Diego-based data tracker opens a window on the practices of 450,000 advisors; skeptics say it crosses a line
LPL's biggest rep, Ron Carson, will convert his firm to an independent RIA
May 2, 2011 at 1:14 PMThe big IBD is staying in the picture but Carson is also forming its own broker-dealer; Schwab, TD Ameritrade get assets
Four brokerage-world practices that could ramp up RIA asset growth
May 2, 2011 at 5:57 AM... four RIA-world lessons brokers would do well to heed
Dimensional Fund Advisors gins up its first conference dedicated to the 401(k) market
May 1, 2011 at 12:00 AMThe Austin, Texas-based fund company sees growth in retirement plan assets from big customers
