Articles published 7/2011
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Mutual Fund Store sells controlling interest to Warburg Pincus
July 29, 2011 at 9:30 PMGiant of private equity world will play a passive role and Adam Bold will continue to run the show
Two former LPL execs set up a breakaway boutique that works with Raymond James and Schwab, among others
July 29, 2011 at 2:29 PMFlush with IPO cash, Scott Collins and Scott Miller were determined to have open-recruiting architecture and more counseling
RIAs can turn stockpiled private equity cash to clients' advantage and into AUM
July 29, 2011 at 2:16 PMClients who grimace at selling their business or standing pat may love a rising new option
Review: EISI is producing a simpler NaviPlan in an effort to keep its towering market share
July 28, 2011 at 2:23 PMThe 21-year-old company, which has swung from complex to simple and back, now aims to be both at once
Three RIA adventures that led to dramatic asset growth
July 28, 2011 at 2:22 PMConversations with academics, expanding strategies and veering away from hedge fund of funds led to thriving niches.
Three RIA happenings this last week
July 27, 2011 at 3:09 PMDynasty Financial's newest customer speaks; a big RIA forms a women's division; and a dislocated Silicon Valley RIA tucks into a larger firm
RIAs and online brokers are winning the market-share game
July 27, 2011 at 2:25 PMWirehouses will have to re-up retention bonuses or see mass migrations of top producers
After IRS audits hit non-profits, RIAs are positioned to wrest a fortune in 403(b) assets from annuity companies
July 26, 2011 at 2:35 PMThe money in motion may reach into the hundreds of billions, though gaining an entree has its frustrations
A conversation between a wirehouse advisor and a senior citizen who seeks trust
July 26, 2011 at 2:08 PMAunt Bea extracts the true meaning of the word 'fiduciary'
What headway Pershing's RIA unit is making after four years under Mark Tibergien
July 25, 2011 at 2:21 PM98 RIAs joined the Jersey City custodian in 2010, up from 35 RIAs in 2009 and 24 in 2008
Bill Gross' commentary should be taken with a bigger grain of salt in this market
July 25, 2011 at 2:14 PMThe PIMCO founder is a mutual fund manager and may view the market with a trader's eye
Dynasty Financial nabs a big Florida RIA as a client, pulling closer to Schwab
July 22, 2011 at 7:36 PMThe New York start-up has known Cypress since a conversation in 2008
Fidelity Financial Advisor Solutions is hatched and Scott Couto will head it
July 22, 2011 at 6:14 PMThe $385 billion unit is looking to put its best wealth-management foot forward
Schwab connects CRM to account opening for RIAs
July 22, 2011 at 2:56 PMThe software fulfiills some of Schwab Intelligent Integration's promise without the fancy cross-wiring
Larry Roth has AIG playing offense again in the advisor game
July 22, 2011 at 1:55 PMThe CEO is looking for big acqusitions and ways to compete for big RIAs
Former Microsoft executives are out to make Figlo compete with EISI
July 21, 2011 at 3:08 PMThe Dutch financial planning software has a solid history with European banks, and is gaining traction with RIAs
How two Wachovia breakaways broke some rules and grew $23 million AUM to $320 million in seven years
July 21, 2011 at 2:09 PMThe ex-Wachovia team creates 'bionic' advisors, tucks in advisors, poaches advisors and does free work
Update on Black Diamond-Advent merger
July 20, 2011 at 3:07 PMThe sales teams are staying separate but sharing training this week
Ron Carson quickly sees benefits of converting his practice to an RIA
July 20, 2011 at 3:05 PMPositive client feedback centers around faster flow of information under new compliance arrangement
New company will allow RIAs to manufacture ETFs
July 19, 2011 at 2:21 PMExchange Traded Concepts hopes that a cheap, simple ETF process will lure mid-sized firms onto the playing field
RIAs fed up with Facebook should hop on the Google+ bandwagon
July 19, 2011 at 2:15 PMThe new social medium embraces the fact that people need CRM for their lives
Orion wins software accounts of two $1-billion-plus firms - one a broker-dealer and one an RIA
July 18, 2011 at 2:46 PMAdvance Capital leaves IAS and United Planners gets performance reporting for the first time
How an RIA can capitalize on referral programs offered by Schwab, TD and Fidelity
July 18, 2011 at 2:20 PMSuccess in converting leads favor the firm that makes dedicated hires
Private Client Resources is a software darling of private banks but can it conquer RIAs?
July 15, 2011 at 3:02 PMThe Connecticut firm has experience and technology and a new CEO sees a swelling pipeline of RIAs
DFA and RIAs unite over post-meltdown 401(k) opportunity at Chicago event
July 15, 2011 at 2:19 PMThe baked-in-cake dollar cost averaging of the defined contribution system allowed it to survive massive 2008 stress test
Dimensional Fund Advisors tells RIAs it's getting active in its quest for 401(k) assets
July 14, 2011 at 2:34 PMDFA says this new plan will complement, not compete with, the services an advisor offers
Three telling conversations about where the RIA business is headed
July 14, 2011 at 2:22 PMIn which RIABiz editor Brooke Southall talks with a recent widow in search of an advisor, the recruiting director of HighTower and the CEO of Focus Financial and gains a snapshot of the RIA arena, circa summer 2011
Big Morgan Stanley team on the Beltway hightails it to HighTower on second thought
July 13, 2011 at 2:12 PMThe learning curve required for complete independence looked unpalatable when it came to decision time
Time for chief compliance officers to get tough and get smart, or else
July 13, 2011 at 1:58 PMDouble-checking, delegating (giving virtual head slaps) and becoming a student of the Investment Advisers Act of 1940 are part of the deal
Interactive Advisory Software joins the horse race with VC funding, a new look, and new CEO
July 12, 2011 at 3:14 PMThe updated user interface was built on the same technology at Gmail and it shows
Fidelity releases mobile trading for advisors - just don't expect many mobile trades
July 12, 2011 at 2:49 PMRIAs generally make block trades and use rebalancing software these days and mobile apps aren't ready for that
T. Rowe Price preaches a new retirement message that doesn't involve retiring anytime soon
July 12, 2011 at 2:23 PMThe bad news is that you work until you're 70; the good news is that you're going to Hawaii
National Advisors Trust gets busy Northern Trust-ifying the RIA business, minus the big fees
July 11, 2011 at 2:24 PMStrategic Financial Group, Sterling Financial Planning and Snow Creek Wealth Management are aboard as foot soldiers for an ambitious new tactic to unseat unassailable trust assets
Financial advisors need to look at client onboarding in a whole new light
July 11, 2011 at 2:19 PMAite Group study shows that advisors are seeing the critical phase in back office/front office terms, not as a way to excel
Fidelity, Vanguard and Schwab have top 401(k) brands but plan sponsors like the service of off-brands better, study shows
July 8, 2011 at 2:23 PMIn market share wars for retirement plan dollars, big and small brands alike have much to learn
The deep dish on why Meredith Whitney was dead wrong on municipal bonds
July 8, 2011 at 2:20 PMThere are trouble spots but these unglamorous holdings are still among the safer and more tax-effective instruments around
Fiserv purchase of CashEdge could affect account aggregation space
July 7, 2011 at 2:26 PM$465 million deal is mostly a payment processing technology-grab, according to ByAllAccounts
Cheat sheet for recent SEC regulatory changes and amendments
July 7, 2011 at 2:25 PMWhy 'assets under management' are now 'regulatory assets under management'
Envestnet unbundles portfolio management software for RIAs and it won't be a sideshow
July 6, 2011 at 4:17 PMThe Chicago firm serves 19,000 TAMP clients with technology, now it wants to take on Advent/Black Diamond
Big Schwab survey: RIAs surpass 2007 former peaks in assets and revenues
July 5, 2011 at 2:28 PMOne analyst still sees troublesome signs in the findings but outsourcing is on the rapid rise
Social media is effective with ultra-wealthy clients but forget the Morgan Stanley approach
July 5, 2011 at 2:28 PMSocial media checklist needed to effectively reach out to wealthy clients
Ron Cordes tells about his Next Big Thing after selling AssetMark
July 1, 2011 at 1:57 PMThe Genworth exec headed to Africa to dig wells after cashing out of AssetMark but realized he could do more with impact funds
Turnaround artist has almost completed her revamp of Cornerstone Revolutions
July 1, 2011 at 5:59 AMMary Hepler was hired on behalf of an unidentified private equity group to catch up to Advent, Tamarac, and PortfolioCenter in features and tech
