Articles published 6/2011
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Advisor Spotlight: Two small Dean Witter breakaways are now Symmetry, a big DFA TAMP
June 30, 2011 at 3:08 PMDavid Connelly and Patrick Sweeny grew to $6.5 billion of assets largely as an exclusive DFA shop but recent added Vanguard, BlackRock and State Street ETFs
Schwab encourages RIAs to adopt client segmentation but some don't approve
June 29, 2011 at 3:06 PMThe controversial practice is cherry picking to some advisors but experts say it's plenty fair and crucial for growth
How one RIA is running his practice on a Mac and finding it totally doable
June 29, 2011 at 3:06 PMSunit Bhalla is taking full advantage of Apple to make sure he stays a one-man shop
Advisors find big assets in some little-thought-of locales
June 28, 2011 at 2:35 PMRetirement enclaves and emerging tech towns are among the wealthiest areas in the country, data indicates
Adam Bold: The Mutual Fund Store is not for sale
June 27, 2011 at 10:18 PMCompany owner denies report but says he takes phone calls of outside financiers
Schwab EXPLORE goes deep into the Rockies with big RIAs
June 27, 2011 at 2:36 PMTop executives from corporate, Advisor Services and Windhaven mingled with advisors representing 5% of RIA assets in U.S.
Tibergien uses brutal honesty to captivate big Schwab RIAs and others at San Francisco event
June 24, 2011 at 2:50 PMThe Pershing leader and former Moss Adams star lit into advisors on practice management issues
Former Merrill Lynch analyst tells RIAs to steer clear of emerging markets
June 24, 2011 at 2:50 PMRichard Bernstein sees Greece as the tip of the iceberg
HighTower dangles array of hedge funds to lure breakaways
June 23, 2011 at 2:39 PMWirehouses have nothing on independents when it comes to access to hedge funds, firm says citing three-year study
Russell Investments and Fidelity both see disconnect between HNW investors and RIAs in separate studies
June 23, 2011 at 2:32 PMMere millionaires prefer fixed income and ultra-wealthy Tiger 21 members also edge toward perceived sleep-at-night investments
Review: How Redtail got hot fast among RIAs and how it plans to leapfrog itself
June 22, 2011 at 2:34 PMBrian McLaughlin's mindset includes: Technology, appealing pricing and bootstrapping growth
Three happenings in the RIA world right now
June 22, 2011 at 2:26 PMThe Innovative Alternative Strategies conference kicks off; United Capital brings aboard two high-level women advisors; and Ron Rhoades finally gets recognized for his efforts
Five recent articles that show the RIA business just keeps hitting milestones
June 21, 2011 at 2:44 PMAdvent buys Black Diamond, Carson goes RIA, Duran champions consolidation, Schwab goes full-out into franchises, Brightscope grades RIAs
Examiners may ask “Says who?” about your advertisements
June 21, 2011 at 2:23 PMRIAs may run afoul of the SEC by using superlatives like "unparalleled" and "unique"
Barron's top advisor shares the secrets to his success with rapt RIAs at TD event
June 20, 2011 at 3:02 PMRic Edelman puts marketing in a new light
Fidelity sees potential 401(k) rollover magnet for RIAs: retirement income plans
June 20, 2011 at 3:02 PMClients receiving the extra level of planning refer and consolidate assets to their advisors, study shows
TD Ameritrade will continue to provide free software to breakaways on an ad hoc basis
June 17, 2011 at 2:36 PMTom Bradley takes exception to how the giveaways are characterized
12 takeaways for RIAs from a Schwab report about complex cost basis rule changes
June 17, 2011 at 2:31 PMThe onus is on the custodians but advisors will be expected to help, especially during tax season
TD Ameritrade and Schwab at odds on franchise model
June 16, 2011 at 2:33 PMTD's CEO Fred Tomczyk questions Schwab's approach to greater distribution using independent contractors
What a slew of recent RIA surveys say about the firms' hunger for growth
June 16, 2011 at 2:33 PMFirms are ready to hire and recruit investors but they're aware that pitfalls abound
What one big RIA has to say about its switch from Advent Axys to Advent Portfolio Exchange
June 15, 2011 at 2:49 PMIt's a night-and-day improvement in terms of the two products' functionality and the conversion process to APX was fine, if lengthy
How one company is making money by making Advent Axys data portable
June 15, 2011 at 2:48 PMEmpaxis outsources to India and some of its customers use the service before they choose to switch providers
High-earning RIAs gather at TD's Elite Advisor Summit
June 15, 2011 at 2:15 PMMany 'first-timers' journey to the Fountainebleau in Miami Beach to glean leadership tips to grow their businesses
RIAs grapple with a rising threat to retirement: Adult kids that move back in with mom and dad
June 14, 2011 at 2:35 PMCharging rent and creating a chore list are two ways of keeping mooching grown kids from getting too comfortable back in the nest
Joe Duran tries out novel financial planning strategy on himself and his wife
June 14, 2011 at 2:34 PMUnited Capital is seeking a replicable method for counseling high-net-worth couples
Morningstar's Mansueto views next horizon: rating RIAs
June 13, 2011 at 2:36 PMCompany announces new forward-looking fund rating systems but how to rate advisors still has puzzling aspects
Pershing clarifies how it's the un-Schwab and a far-flung crowd pours in to South Florida
June 13, 2011 at 2:30 PMThe INSITE conference draws a diverse set of advisors, Bush speaks and advisors get word on Dodd-Frank
CEOs of BNY Mellon, Lincoln Financial and Legg Mason are stubbornly glum on Pershing INSITE panel
June 10, 2011 at 2:32 PMBloomberg interviewer finds it tough getting Kelly, Fetting and Glass to answer about where the dark economic tunnel ends
After trying life as two silos, the custody units of BNY Wealth Management and Pershing will largely merge
June 10, 2011 at 2:32 PMCollaboration and shared marketing are in the works
TIAA-CREF is creating an RIA-only pre-screened list for referrals
June 10, 2011 at 2:31 PMThe big 403(b) provider is seeking to help plan sponsors concerned with meeting fiduciary obligations
AIG's Advisor Group introduces a 100%-payout for big RIAs as part of a massive revamp of its fee-based platform
June 9, 2011 at 2:29 PMThe company is seeking to address the issue of having 65% of its advisors still managing assets themselves rather than using managers
Bill Gross wows advisors at Morningstar conference, but not with good news
June 9, 2011 at 2:10 PMThe bond king slammed fixed income investments and encouraged blue chip stock investments in a hard-hitting speech
Schwab spells out the details of its franchise plan
June 8, 2011 at 1:28 PMThe San Francisco broker is making five-year deals with dozens of financial advisors from across advisory channels
Fidelity study: Breakaway RIAs could pocket millions in after-tax profits
June 7, 2011 at 2:30 PMDazzling wirehouse retainer deals are nice but going it alone can pay much, much better after taxes get figured in
Eavesdropping on a well-kept secret: the FPA NorCal event
June 7, 2011 at 2:29 PMNeel Kashkari, Michael Lewis, Bob Veres and a few others took a local event to a new level
One RIA's unvarnished views on Advent, Black Diamond, Tamarac, IAS, Orion and Schwab PortfolioCenter after an odyssey of test drives
June 6, 2011 at 2:57 PMBenjamin Baldwin is making the jump from PortfolioCenter to Orion after a brief affair, and lingering love, for Black Diamond
RBC hires another Fidelity alumnus to boost its RIA unit's sales
June 6, 2011 at 2:45 PMSanjeev Rajput has 'hit the ground running'
Pershing, TD, Schwab set to raise the curtain on late-spring conferences
June 6, 2011 at 2:43 PMPershing's event has presidents, prime ministers and Bill Belichick
LPL Financial confirms that Akellian hire means big plans for its clearing services
June 3, 2011 at 1:17 PMThe firm is eying fellow IBDs as customers and it aims to gain footing with Pershing and NFS
With inflation on a tear, 401(k) plans look vulnerable and BrightScope publishes a cheat sheet
June 3, 2011 at 1:14 PMSome experts are running scared from rising prices and others see this as another false alarm
HighTower is starting to run the poaching table in Palm Desert
June 2, 2011 at 1:54 PMThe Chicago firm's phone is ringing after it wins a top Morgan Stanley team on the heels of nabbing Merrill breakaways
What to make of yesterday's Wall Street Journal report on Schwab's 401(k) 'bet'
June 2, 2011 at 1:44 PMRIAs favor WSJ's suggestion that Financial Engines is getting a close look as an outsourced 401(k) advice provider
Commonwealth's revamp of technology includes subtracting Advent
June 1, 2011 at 2:36 PMThe big IBD wasn't impressed with the value presented by third-party performance reporting companies
In a twist, RIA opens a bank - to significant success
June 1, 2011 at 2:36 PMDespite increased oversight, the one-stop-shopping model has worked for First Foundation
