Articles published 8/2013
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LPL flaunts its Dell effect to 3,000 advisors in San Diego at focus13 confab
August 29, 2013 at 7:03 PMNewly installed CIO and ex-Dell star Victor Fetter shows he means business at the IBD's annual conference
Fidelity and TD Ameritrade show new teeth in RIA advertising -- albeit with giraffes, and children on summer porches
August 28, 2013 at 7:36 PMOn the heels of Schwab's 'owning it' campaign, Fidelity aims to catch (and repaper) RIAs and TD goes for the soft belly of the industry
Washington Wealth, now part of the LPL OSJ realm, annexes a $220-million-AUA team in Seattleland
August 27, 2013 at 1:28 PMThe ex-Wells Fargo team chose the name Kimball Creek to highlight its Northwestern roots -- but it's also a metaphor for the high the stakes their clients face
A sometimes defensive Bernie Clark makes four points pertaining to Schwab's RIA custody business in an update to Wall Street
August 26, 2013 at 5:24 AMThe overseer of Schwab RIAs explains the San Francisco giant's difficult-to-do-business-with reputation and the long rollout of SII
After more than two years of radio silence, Mark Hurley pings with a stake-taking in an under-the-radar RIA
August 23, 2013 at 5:15 PMThe writer of firebrand reports describes his own company as 'boring' -- questionably -- but lately has lived up to his billing
Banyan reels in two more RIAs pushing its assets across the $4 billion line -- now comes the challenge
August 23, 2013 at 5:14 PMPeter J. Raimondi gets closer to his dream of creating a national firm with acquisitions of firms with a combined billion in AUM
LPL Financial tells its faithful in San Diego that a fuller-service, more dependent model will get corporate support
August 22, 2013 at 3:46 AMWith Philip Palaveev overseeing the project, LPL is working to install more management expertise in the crazy-growth OSJs it both supports and competes with
A $4.7-billion RIA-under-investment-bank in NYC softens its macho edge by headhunting a top woman from GenSpring
August 21, 2013 at 5:40 AMEvercore will make Jewelle Bickford a partner and the gem of its outreach to the other gender
AMG delves deeper into the RIA business with second deal -- of $4-billion player in NY
August 20, 2013 at 3:18 AMIts purchase of a stake in Clarfeld Financial Advisors, Barron's No. 3, shows the Veritable deal was, indeed, a warm up
Legal analysis: Why the Yale 401(k) letters, limits aside, should raise an alarm to plan sponsors
August 19, 2013 at 5:27 AMAyres may not have it all letter perfect but his basic points have a legal basis
Fidelity Investments puts hard numbers on the disgruntlement of 401(k) plan sponsors -- and launches Z shares with ETF-like prices
August 16, 2013 at 5:32 AMAdvisors are gaining some ground but the crunch of fees and service on plan purveyors gets worse and worse
As LPL Financial braces for a share sell-off and loss of two directors, a Citi analyst says it'll be good
August 15, 2013 at 4:46 PMHellman & Friedman will shed all of its 12.6 million shares to 'partners' and TPG will reduce holding to 17% of LPL's float
Five reasons why 'summer-is-slow' is no excuse for an advisor to slow down
August 15, 2013 at 5:28 AMIf you want to mail it in for a couple months, fine, but know that you're missing a chance to get real things done minus the distractions
Charles Goldman makes a green investment that involves black and white analysis
August 14, 2013 at 4:44 AMThe ex-Schwab and ex-Fidelity RIA chief sees a future for a tiny fund that Morningstar rated in the top 1% of 182 in its first three months of existence
Morningstar takes a big stake in a startup gunning to be the Bloomberg for RIAs
August 13, 2013 at 5:35 AMFlush with $8 million in VC dollars, YCharts is betting that its data feed and content can challenge the Bloomberg behemoth by filling a hole for wealth and hedge fund managers
An X-ray of one affluent, educated and sophisticated investor's portfolio shows how it was chewed up by fees
August 12, 2013 at 3:47 AMHelping an ex-Fortune 500 retiree prepare for her appearance before Congress, the author waded through a mountain of paper only to discover that the woman was likely to outlive her portfolio
Abby Salameh joins LPL's largest branch office
August 9, 2013 at 5:09 AMJohn Hyland is hiring the veteran RIA business marketer after a long search
A few things I learned about the Raymond James RIA effort in an NYC sit-down with Bill Van Law
August 8, 2013 at 5:59 PMThe St. Petersburg, Fla. company's appraoch to the RIA business will be to do more for bigger RIAs that hunger for fuller custody service
Davis Janowski gets scooped up by Wealthfront
August 7, 2013 at 11:51 PMThe longtime IN technology voice will now straddle Silicon Valley and the East Coast in a new role
Cogent study shows one big RIA distinction getting swallowed up -- or not
August 7, 2013 at 6:35 PMIt'll be a head-turner if, in fact, two-thirds of all retail assets are fee-based in 2015, but there may be more to the story
A $2.3-billion RIA in San Diego continues to grow as it hires talent from national powers -- this time a known Schwab quantity
August 7, 2013 at 5:43 PMDowling & Yahnke last recruited an esteemed Deloitte partner and now its a pedigreed Schwabie
How Schwab's new 'owning it' advertisements position the firm to offer more advice -- and how RIAs factored into the brand rethink
August 6, 2013 at 2:32 AMCEO Walter Bettinger wants his company, long a kingpin in the discount brokerage realm, to become a 'challenger brand' again
A veteran DFA exec tells what enduring RIA success is made of -- and why the next-gen advisors will not disappoint
August 5, 2013 at 2:14 AMDave Butler's front row seat on dozens of highly effective firms allows him to look past the surface to see what runs deep
RIA TAMP for insurance agents hits a quick $700 million AUM then opts for Orion software
August 2, 2013 at 3:27 AMWith 50% annual growth and 215 IARs, Brookstone made the switch from Albridge
Why the 'naked fear' from a Yale law professor's letters to 401(k) plan sponsors is still present
August 1, 2013 at 5:49 PMThe threatening, finger-pointing nature of the epistles drew the blood, the lack of a remedy to the attack from New Haven keeps the wound from healing
Ron Rhoades, a lawyer, asks: Has Sheryl Garrett invented an RIA future of attorney-like comp?
August 1, 2013 at 5:27 PMMembers of the Garrett network find pitfalls using flat fees and hourly fees (people want to kill lawyers, remember?) but a template for a fiduciary future may be taking shape
