Articles published 1/2013
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TD Ameritrade will make iRebal software available free to all its RIA clients
January 31, 2013 at 7:51 PMThe custodian may disrupt both the RIA technology and RIA custody businesses -- but not inexpensively
Audience remark at Andy Gluck's session at TD Ameritrade pre-event session sets off a tweet chorus
January 31, 2013 at 4:59 PMA college student needed two hours to break into an RIA's files and it took only minutes for Twitterati to pass the story along at TD
How an RIA got in hot water in New Hampshire and why RedBlack is being touched by an ensuing bankruptcy
January 30, 2013 at 5:18 PMNicholas B. Rowe was a founding investor in the rebalancing software maker and regulators are chasing down every asset he has
Why my financial advisor came to mind (seriously) as my airplane was plummeting toward the ocean
January 29, 2013 at 9:46 PMWhite light can wait: When death is at hand, you get in touch with your inner actuary
Tim Whiting leaves SourceMedia to join Julie Littlechild in her growing venture
January 29, 2013 at 9:43 PMAdvisor Impact will begin marketing its service to enterprises, not just the advisors who use them
The RIA M&A market stumbled in 2012, but giants were not deterred, Schwab end-of-year data shows
January 28, 2013 at 4:34 PMM&A activity still sickly slow by some reckonings, but harbingers of mating activity abound
The SEC needs to clean up its semantics before accusing RIAs of inflating AUM
January 28, 2013 at 4:39 AMAdvisors stretching for the $100-million mark advisors need to be told what assets to count and which ones are merely hanging out
Scott Dell'Orfano lands at a $1.4 billion RIA with plans to deal its way to $10 billion
January 25, 2013 at 3:24 AMThe ex-Fidelity RIA exec will oversee the spending of private-equity capital on behalf of Peter Raimondi's burgeoning RIA
How three small firms backed with big-time M&A muscle brought in $450 million with strategic buys
January 24, 2013 at 8:04 PMThere are vivid back stories behind each Focus-owned firm's deal; taken together they could show the way forward for the aggregator model
Philip Palaveev will help oversee effort to solve big IN-Moss Adams comp study problem -- a survey that can take a day to complete
January 24, 2013 at 7:46 PMWith Kelli Cruz out the door, the ex-Moss Adams star is stepping in with plans to get the survey down to a one-hour task
How a Chicago RIA grew to more than $700 million by carving out a client niche of wirehouse execs
January 23, 2013 at 3:50 AMTwo Salomon Brothers alums gained the trust of masters of the universe who have seen how the sausage is made yet still make rookie investing blunders
Top 12 crucial technology happenings affecting RIAs in 2012, Part 2
January 22, 2013 at 4:15 AMSilicon Valley woke up to the potential RIA business, a phenomenon perhaps best embodied by the meteoric rise of one youth-fueled venture -- and our No. 1 pick on this list
Why Schwab handed Facebook and Apple 'F' ratings -- and why advisors seem unfazed
January 21, 2013 at 2:53 AMClients may be perturbed by the flunking grades meted out to the popular Silicon Valley firms even as some RIAs discount the data as 'backward-looking'
Schwab nonprofit ponies up $500K for simulated securities floor to give prospective advisors hands-on experience
January 18, 2013 at 4:28 AMCozying up to academic institutions has both a charitable and a shrewd side; Zero Alpha Group also launches an education project
12 key events of 2012 that rocked the RIA technology landscape, Part 1
January 17, 2013 at 7:30 AMSalesforce become the industry elephant, FinFolio emerges as a player, Pershing's NetX360-whisperer gets kicked upstairs, the Weatlhcare lawsuit gets an outcome, and more
United Capital eyes 'Paragon' brand for the $10-million-plus set after nabbing $1 billion RIA in Seattle
January 16, 2013 at 9:35 PMJoe Duran is pleased bring aboard another woman-led firm -- a trophy, albeit low-key, outfit that sits among brand giants like Starbucks, Amazon and Microsoft
10 essential steps that 401(k) plan sponsors need to take in 2013 to put clients on the right road to retirement
January 16, 2013 at 5:25 AMDeveloping white-label and spend-down strategies for all DC plans is important and carefully explained here
Kelli Cruz and Jennifer Specter leave consulting unit at InvestmentNews for new 'come-to-Jesus' venture
January 16, 2013 at 5:11 AMThe departures mark some big changes at IN away from consulting to advisors
LPL signs on with FolioDynamix for rebalancing to boost its IBD offering and Fortigent's
January 15, 2013 at 6:28 AMThe huge independent broker-dealer will wean advisors off its homegrown trading and rebalancing suite and stick with Fortigent for research and performance offerings
After a five-month deal-making hiatus, HighTower adds a couple of advisors and hints at a busy 2013
January 14, 2013 at 8:41 PMThe serial buyer nabs a combined $400-million of tuck-ins-as-partners after a deliberate breath-catching and a financing no-go
13 for 2013: A baker’s dozen of issues you and your clients should really be focusing on this year
January 14, 2013 at 4:49 AMTrendmeister Isbitts canvasses burning topics ranging from gold to the bond bubble to the rise of the Millennials, explains why the 'plastics'-like word of the year is 'dividends' and boldly revisits his predictions for 2012
A $17-billion RIA doubles down on a social media strategy that netted it 50 Facebook employees
January 11, 2013 at 5:28 AMSuper bloggers with real street cred are the missing ingredient for casting a Web net
Op-Ed: The fiduciary standard is in worse shape than it was four years ago
January 11, 2013 at 4:41 AMThe teachable moment of Lehman's collapse seems to have dissipated, and forces of dissimilation are winning the day
Why it took Rudy Adolf seven years to win an elusive $1.5-billion RIA to cap a $14-billion-asset year
January 10, 2013 at 6:36 AMThe $60-billion-AUA firm has its mojo back as it brings on a woman-run firm with a 49-state presence
CAPTRUST wakes up the 401(k) industry by buying $1-billion advisor/recordkeeper that adds the 'magic' to its arsenal
January 9, 2013 at 5:25 AMFreedom One's system offers 3(38) fiduciary management that allows the $85-billion Raleigh behemoth a way to take greater control of assets
Orion bags Schwab's 'best' advisor -- a $1.3 billion RIA weaned on Schwab PortfolioCenter
January 9, 2013 at 3:58 AMEric Clarke will serve Foster Group but he's also becoming a vendor of the firm's startup, Orchestrate, which automates work flows through Salesforce
Market76's young Ivy League founder is threading a business-model needle and extending his mother's legacy
January 8, 2013 at 6:31 PMOver 2,000 advisors were added in nine months and the free software is looking like it's worth more than what you pay for it
Why a $1.5 billion RIA is selling internally this time -- perhaps with Schwab as 'investment bank' -- after a sale to an outsider went bad
January 7, 2013 at 8:56 PMMiller/Russell of Phoenix is partially owned by a client and plans to enlist custodians to finance junior advisors in their quest for partnership
Could inStream be the Next Big Thing in RIA technology?
January 7, 2013 at 4:20 AMAlex Murguia is assembling a minor Dream Team of RIA execs including Zohar Swaine, but the revenue model is causing some consternation
10 most influential individuals in the 401(k) industry affecting RIAs in 2012, Part 2
January 4, 2013 at 5:10 AMExecutives and lawmakers are leading the charge on a fast-shifting landscape as retirement funds gain increasing importance to an aging US population
The killer cheat sheet of just where RIA clients stand after the near-cliff experience
January 4, 2013 at 5:04 AMWe all know that income of more than $400,000 will get hit but there's so, so much more to know
What I witnessed at an RIA office that helped me understand the rewards the business provides
January 3, 2013 at 4:42 AMAn exacting client left a trail of advisors in the dust before finding an RIA that understood just what he needed
The 19 ways private equity has juiced up the RIA business and how it's working out
January 2, 2013 at 5:40 PMRIAs, rollups, technology companies, RIA-friendly IBDs are among the firms soaking up the high-ROI capital
Where RIA technology stands heading into 2013 after 2012 lost some steam
January 2, 2013 at 5:30 PMPhilip Palaveev, Mike Golaszewski, Spencer Segal and Joel Bruckenstein weigh in on whether the 'mega-solution' will gain traction vs. the mix and match option
