Articles published 8/2014
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By outing a reluctant star in Peter Mallouk, Barron's Top 100 advisors list yields a surprise winner -- Leawood, Kansas
August 29, 2014 at 5:08 AMIs it the water supply, fate or a bizarre coincidence that Peter Mallouk and Marty Bicknell, Barron's No. 1 and No. 2 advisors for two years running, are based in the same obscure 12,000-household suburb?
Elliot Weissbluth will referee -- with a human bias -- a debate on robo-advisors starring Joe Duran, John Michel, and Jon Stein
August 28, 2014 at 5:48 AMMarketCounsel Summit also adds a second panel: Fortigent's Jamie McIntyre mediating Envestnet’s Jud Bergman, LPL’s Victor Fetter, and ActiFi’s Spencer Segal on an advisor support futurist theme
Warranties and guarantees come to the 401(k) game but can insurance really put the client first?
August 27, 2014 at 3:25 AMUnwilling to stomach new legal exposure, employers -- and their advisors -- are looking to buy protection
How one $1.3-billion RIA in Tiburon found its woman by taking the 'grueling' route
August 25, 2014 at 11:09 PMSteve Janachowski was determined to do 16-hour 'test-drives' of all candidates and finally Peg Pike proved more hard core than him
A New York Times article gets real on the topic of marketing to millennials
August 25, 2014 at 6:43 AMIt's the what-do-women-want dilemma in different form but the answer is the same: Treat me foremost as a human being but don't waste my time or expose me to psychological mildew
The big impression Mark Tibergien and his reverse mentor, Kayla Flaten, 25, made on me over a Manhattan lunch
August 25, 2014 at 4:01 AMWith 37 years separating them, the interplay has an invaluable zing, buzz and usefulness to it; In other words, it's fun
Stephanie Bogan leaves United Capital for Costa Rica
August 22, 2014 at 3:08 AMHer former employer characterizes the move as a 'personal decision'
In calculated gamble, United Capital begins to build, not buy, growth in major cities
August 22, 2014 at 3:04 AMJoe Duran will still buy firms but his $10-billion RIA will spin out six snazzy startup offices in the next two years manned by graduates of its own training program
Why shock-and-awe over low succession planning rates is unhelpful and distasteful
August 21, 2014 at 6:05 PMMost RIA owners want to own their firm into their 70, even 80s, 90s so let's change the conversation to one of sticking around constructively
Fresh off an RBC exit, Ryan Marcus lands with Joe Duran
August 19, 2014 at 10:42 PMThe recently departed face of RBC's RIA custody will tackle the Northeast corridor of the US for United Capital
Babson Capital's Brigitte Posch travels to Russia with an entourage and comes away with an insider's view of the investment landscape
August 19, 2014 at 7:10 PMThe former head of PIMCO emerging markets finds some comfort in the substance of the Eurasian bear's central bank
An RIA innovation co-op is born with Fidelity and Pershing among the founding members
August 19, 2014 at 12:14 AMSchwab Advisor Services declines comment and TD Ameritrade respectfully declines, citing a full plate of Veo initiatives
Laser App celebrates its RIA business quasi-monopoly by throwing a summit for all of whom it surveys
August 16, 2014 at 2:58 AMIt's the killer app of the paper blob and it shares the wealth each year with a come-all B-to-B event
Why almost nobody seems fazed by an ominous lawsuit hanging fire against Financial Engines
August 15, 2014 at 4:59 PMInvestors show no panic and lawyers are not seeing what the patent troll is getting at but trouble could lurk
How exactly Fidelity Investments extracted itself from a legal and HR quagmire and why it'll cost far more than the public $12-million amount
August 14, 2014 at 5:01 PMThe settlement's small print reveals Fidelity employee may receive additional hundreds of millions of dollars in value over time
Fred Tomczyk responds to a Wall Street analyst who cites leaked first draft of report written by three professors
August 12, 2014 at 10:57 PMThe paper purports to have found trade order-routing conflicts used by the retail brokers, including TD, but any final draft may be months away
WSJ: CalPERS questions its own ability to execute winning trades
August 12, 2014 at 4:08 PMCandidates for the chopping block in the pension fund's strategy rethink include individual stocks and hedge funds -- and a retreat from its accustomed role as trading macher
Marty Bicknell adds an investment bank to his $10-billion RIA and $26-billion asset manager
August 11, 2014 at 9:09 PMThe CEO of Mariner Holdings prefers not to throw his wealth management clients to the M&A wolves when they liquidate big companies
Takeaways from a New York Times article about Addepar
August 8, 2014 at 3:25 AMThe Mountain View, Calif. start-up kept it close to the vest but revealed who they believe uses big data to good effect
How Frank Campanale's heist, so to speak, of young BNY Mellon Wealth Management stars fits into a bold millennial strategy
August 7, 2014 at 7:53 PMThe morphed E.F. Hutton venture that is now Lebenthal looks like anything but a retirement home for dusty old brokers from yesteryear
Ryan Marcus leaves RBC Advisor Services as clients and recruiters openly speculate that his drive was mismatched with his giant employer's bankerly ways
August 6, 2014 at 12:38 PMDespite a string of high-profile departures, RBC's US brokerage subsidiary is determined to keep a hand in the RIA custody business
What tidbits jumped out of Schwab's business update to Wall Street -- including the two underscored advantages relating to Schwab Advisor Services
August 4, 2014 at 11:21 PMBraving 'ahems' from Fidelity and Pershing, Bernie Clark claims Schwab is now the preferred vendor to roll-ups and Nick Georgis says Schwab stands alone as a business consultant to RIA firms
How a Chicago RIA of PWC origin jumped to $1 billion by lacing its DFA approach with alternative assets
August 4, 2014 at 3:48 AMPlaying on its base, Chicago Partners just hired a Guggenheim portfolio manager to oversee its first proprietary alt fund to woo ultra-HNW families
HighTower Advisors shows its breadth of appeal by nabbing a 25-year RIA veteran with Moss Adams DNA
August 1, 2014 at 6:34 PMThe Great Northwest's Triad Wealth Stewardship is now Bellevue Hightower and will stick with Tamarac after a long trial period
After cutting loose its RIA chief, Scottrade is culling some RIAs and imposing an 'unpublished' $12,000 fee on others
August 1, 2014 at 6:26 AMBrian Davis is gone and the St. Louis firm is dealing with an unwelcome P&L effect after open invitations to all RIAs of all sizes produced more expenses than revenues
