Articles published 12/2012
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Jack Bogle steps aside as senior standards chairman at Advizent
December 28, 2012 at 5:10 PMThe Vanguard legend reportedly had competing interests for his time
SEC may tackle RIAs claiming to have 'skin in the game'
December 28, 2012 at 2:30 AMHeed the cautionary tale of the recent $1.6 million settlement against an RIA and its affiliated B-D that falsely claimed they co-invested in a fund
Orion hauls down nearly $2 billion of accounts from two Advent clients, clinching better than 50% growth for the year
December 27, 2012 at 2:25 AMEric Clarke's firm is high on Salesforce and starting to look beyond its Omaha home for expansion as it needs more and more skilled labor
RIABiz' 10 most-read stories of 2012: What fascinated you and why
December 26, 2012 at 4:44 PMFacebook, fallout from DOL's new 401(k) regs and happenings at Advizent, Addepar and Windhaven were reader catalysts
Fiscal Cliff vs. Jimmy Cliff: How the leap may look more like Y2K or the Mayan calendar
December 26, 2012 at 3:40 PMWe are sitting in sitting in limbo with many rivers to cross but harder they come (up), the harder they may not yet fall
Merry Christmas: A nor'easter makes life interesting as RIABiz heads up to Maine
December 24, 2012 at 8:49 PMNo snow or skating ice but I put a stop to L.L. Bean mailings and a dog comes to life for Christmas
Tamarac picks second Microsoft partner to handle spike in demand from big RIAs
December 21, 2012 at 4:06 PMStuart DePina wants Salentica's sheer personpower to avoid getting flooded by his own pipeline
Opinion: Why NAPFA's CFP-only approach is a slap in the face of many financial advisors
December 21, 2012 at 3:41 AMIn the alphabet soup of designations for advisors are many legitimate practitioners whom the association's new policy will shut out
How a $2.7 billion LA-based RIA known for its referral-by-referral growth jumped on a chance to grab a Virginia Trust officer
December 20, 2012 at 5:44 AMCan an alum of mammoth Fiduciary Trust Company International with a book of business focused on young lawyers find happiness in a big mom and pop?
Gemini adds a whopping $5 billion in AUM in 2012 by helping RIAs start and expand mutual funds
December 19, 2012 at 4:16 AMThe firm has minted 50 new funds this year alone, and they are proving catnip to advisors who want to limit volatility for their clients
$2.5 billion roll-up-like entity in San Francisco brings aboard a chairman from its big investor
December 18, 2012 at 4:26 AMMontgomery Securities veteran Craig Johnson will help corral runaway wirehouse advisor dollars as the San Francisco firm seeks to build on an exponential leap in assets this year
HighTower passes up $40 million capital raise, takes a big breather from deals and implements a pacing regimen
December 17, 2012 at 4:39 PMThe Chicago-based gazelle may chase capital markets next year, but expect deals to resume in early 2013
Dynasty Financial turns two, picks a new long-term goal and shows off $2 billion of SMA assets
December 17, 2012 at 3:55 PMThe New York corner-office outsourcer guys leave plenty of room to grow but will never have Smith Barney numbers
LPL poaches top Dell exec to rewire outsourcing and head hundreds in new technology 'town'
December 14, 2012 at 5:57 AMVictor Fetter is reporting directly to Mark Casady and will help hire 60 techies in the next 45 days
A Merrill Lynch trainee shares what it's really like to be part of the firm's revamped, more RIA-like training program
December 13, 2012 at 8:15 PMFollowing a scathing condemnation of the program in reaction to a recent story, another trainee chimes in with a more three-dimensional report
Half-financed by RIAs, AssetBook rolls out 'Radar' to put big RIAs in its range
December 13, 2012 at 4:58 AMThe previously down-market software firm says it can do anything Black Diamond can -- at 50% of the price
What swayed me to the hybrid cause after an early indoctrination as a 'pure RIA' disciple
December 13, 2012 at 4:29 AMThe notion that it's just a layover on the way to to a more exalted state of securities-license-dumping, fee-only purity should be reexamined
Greg Friedman is set to finally bring Junxure to the cloud and beat back the Salesforce-ification of the industry
December 12, 2012 at 6:19 PMTrue, the ascension to cloud would have happened sooner in an ideal world, but the world has not passed Junxure by, the RIA and software entrepreneur says
Power shift in Fidelity's RIA sales: Scott Dell'Orfano is out; Rich Policastro defects from Schwab
December 12, 2012 at 4:30 PMBob Oros has his hands full as the Fidelity sales effort gains more of a Schwab presence and feel
The case for Chicago as an epicenter of the RIA world
December 11, 2012 at 6:05 AMThe rise of registered investment advisors here means the city, once viewed as a very secondary financial center to New York and the Bay Area, is coming into its own in a big way
She’s the boss: Keeping assets means keeping the power of the family matriarch fully in focus
December 11, 2012 at 5:51 AMThe woman who sits quietly and looks bored at meetings can arrange one of her own with the kids who will inherit the family fortune
Hire of former Fidelity and Wealthfront talent is latest move by Andrew Rudd to remake Advisor Partners
December 10, 2012 at 4:41 PMKris McCabe has admired Andrew Rudd's company from afar and now he believes he can get its brand humming
How RIAs are becoming as complacent as wirehouses -- and what it'll take to snap out of it
December 10, 2012 at 4:18 AMThere is empirical evidence that challenges are increasing but also reasons to believe they can be met
Scottrade proclaims itself the 'compliance custodian,' partnering with RIA In a Box and staffing a hotline with ex-regulators
December 7, 2012 at 5:01 AMBut the mega-custodians are having none of it, saying the initiative is good as far as it goes, but lacks the horsepower to tackle the big questions
Analysis: Beware of a FINRA bearing gifts for RIAs
December 7, 2012 at 4:52 AMThe broker regulator takes another step towards ruling RIAs by making its arbitration process open to them
Marty Bicknell self-declares a slowdown after bringing on $700 million more of RIA assets to punctuate an epic streak of deals
December 6, 2012 at 4:46 PMThe Mariner CEO's personal barnstorming led to more than tripling his firm's assets from $2 billion to $6.5 billion with Brinton Eaton as 2012's finishing touch
From Schwab IMPACT's dizzying array, one free agent tabbed FinFolio and its use of Windows 8 as a takeaway
December 6, 2012 at 7:32 AMPeter Giza was always the RedBlack guy until this year but now he's free to admire and comment on other vendors
The once underrespected CFP gets a lift after Merrill Lynch and now NAPFA make it central for newbies
December 5, 2012 at 7:29 AMStill, CFP certificants shoot down the idea of making the CEO credits requirements even harder, and fiduciary concerns linger
Column: Europe is the opportunity of a generation and the time to invest is now
December 5, 2012 at 7:27 AMIgnore the anti-hype: An undermined euro may be a gain for Yankee investors with a long view and sufficient backbone
8 nuggets of angst mined from RIAs at Schwab IMPACT
December 4, 2012 at 5:08 PMSafe zones of consensus thinking inhabit almost no area of advisor life
What post-mortems of 401(k) and 403(b) deals that got away tell advisors how plan sponsors think – and it’s not mainly about price
December 4, 2012 at 5:41 AMA Franklin Templeton study extruded the hard truth from ax-wielders that would rather just say 'no thanks' as they administer the cut
A mini-Merrill springs up with its own broker-dealer and plans to grow
December 3, 2012 at 6:56 AMTwo former Merrill higher-ups brought aboard two teams of Merrill brokers -- and they're just getting started
What five things LPL president Robert Moore told investors that stood out for me
December 3, 2012 at 6:48 AMWall Street reacted well to the hype-free message about germinating recruits and serious cost-cutting plans
