Articles published 5/2015
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How exactly RIAs can get the something for almost nothing they expect from 'free' social media
May 29, 2015 at 4:57 PMFacebook, LinkedIn and Twitter basics can be a gateway to a broader cyber existence, maybe
JP Morgan gets a 39-page blasting of its corroded culture and ground lost to Silicon Valley robos -- authored by its CEO Jamie Dimon
May 28, 2015 at 6:41 PMThe letter to shareholders by Wall Street's sultan shows uncharacteristic humility but some analysts question the missive's sincerity
Salesforce discloses upcoming RIA CRM product, cryptically and to some jeers
May 27, 2015 at 8:21 PMLosing its cloud edge with Redtail, Junxure -- and with a dubious social media strategy -- the San Francisco software giant needs to play catch-up
What exactly to make of the big robo-advice deal that, according to Reuters, Financial Engines and Wells Fargo are nearing
May 26, 2015 at 7:56 PMThe pieces -- 401(k) pricing, DOL, Supreme Court and massive scale -- are all in place to make the Silicon Valley-San Francisco deal make sense, analysts say
JD Power crowns Schwab as tops for 'self-directed' investors for its ability to provide investors greater direction
May 22, 2015 at 5:26 PMScottrade plummets from first place to fifth as Fidelity and Vanguard come in a hair behind Schwab
Focus Financial doubles down on financial engineering by making five hires -- four of them deal hounds
May 21, 2015 at 8:57 PMWith $325 million in revenues and a big line of credit, the New York roll-up machine is playing to its M&A strength
Virtus bites bullets with F-Squared firing, Dorsey Wright hiring and an admission that it'll likely pay a $5-million-plus SEC settlement
May 21, 2015 at 6:13 PMThe Hartford fund company set aside $5.2 million, warned it may need more and is replacing interstellar algorithms with a Virginian's figurings
How 12(b)-1 fees and revenue sharing may be the real victims of Monday's 'narrow' Supreme Court ruling
May 20, 2015 at 4:18 PMBy unanimous decision, a conservative nine showed no tolerance for retail mutual fund share classes that achieve such status with fat fees that directly or indirectly pay 401(k) administration freight
Gladstone commandeers the Four Seasons as Andy Putterman and Brian Hamburger command the buzz
May 19, 2015 at 8:08 PMThe M&A firm's event is about zzzzzzuccession planning but the event got un-boring fast when the two CEOs spoke their minds
After Schwab robo launch, Trizic phones leap off the hook as Wall Street brokers and bankers come calling -- and VCs write checks
May 18, 2015 at 6:33 PMEx-JP Morgan Trizic founders say their giant enterprise prospects went from 'denial' to 'how?'
Credible reasons Facebook and Google won't become robo-RIAs and other things I learned at Hearsay Social-Pershing event in San Francisco
May 15, 2015 at 7:08 PMThe atmosphere was SOMA startup, the 20-plus RIAs wore suits and dresses and Mark Tibergien was in listening mode
What happened when a Florida RIA brought DOL's Tom Perez to his local business elite
May 15, 2015 at 4:02 PMThe corporate stewards of a cumulative $1.57 billion in assets seem OK with -- if a bit confused by -- the new fiduciary world order
Mark Hurley's new report analyzes the pathology of the aging RIA and the illiquidity it exacts
May 14, 2015 at 4:57 PMThe leveraged buyout specialist posits thousands of principals trapped in their practices, unable to sell, victims of psychological unpreparedness
Feeling its oats in post-Genworth life, Altegris does a deal with KKR anchored by a big Merrill Lynch brokerage commitment
May 13, 2015 at 5:55 PMUsing a deli-slicer approach, the San Diego liquid alts firm will make KKR billions available in $25,000 portions
Why quiet co-breakaway of LPL and Ameriprise advisors in Downeast Maine speaks so loudly to Shirl Penney
May 12, 2015 at 4:57 PMPenney, who arrived in New York in a $13 suit and built Dynasty, is reconnecting with his home state by signing on a Brunswick breakaway
My trip to Omaha with 40,000 of the Buffett faithful and what questions the Oracle didn't answer
May 11, 2015 at 9:30 PMNuggets of Buffett and Munger wisdom were abundant and provided a window into the Warren succession -- plus plenty of Berky Briefs and Dilly bars
Fleet-footed RIAs storm into the active ETF market as fund giants tie pretzel dough
May 11, 2015 at 7:32 PMFront-running is real concern for the likes of American Funds or Fidelity Investments but not for little guys with no track records
After LinkedIn's stock retreats, LinkedIn CEO hosts NYC event with Merrill's Thiel, Allianz's El-Erian, BNY's Hassell and a robo-panel
May 8, 2015 at 7:56 PMThe loose theme was millennials, the takeaway was nada and a panel of female industry execs stole the show
Jud Bergman defies advisor feedback as Envestnet stares down the barrel of change
May 7, 2015 at 8:31 PMThe Envestnet chief executive invokes railroad pioneers to explain why he is erring on the side of the theoretical over hard feedback
Envestnet acquires Finance Logix on heels of Upside
May 6, 2015 at 9:57 PMThe Chicago outsourcing behemoth seeks to unify investment planning and financial planning
Why I disagree with Jack Welch about the '08 crash as the root of employee disengagement
May 6, 2015 at 8:13 PMWelsh sees happiness, trust and truth as problems and the author sees intimacy as the weak link
FutureAdvisor responds to Schwab's market entry with a truly free offer and big backing from Fidelity and TD Ameritrade
May 5, 2015 at 5:07 PMThe San Francisco-based RIA is automating parents' investments into 529s, Coverdell ESAs, UTMAs or UGMA for tax-free savings, no paperwork
News that AAA -- the tow truck guys -- are entering the robo-advisor business made the Finance Logix point in Vegas
May 4, 2015 at 7:37 PMThe Pacquiao-Mayweather crowds added to the surreal Las Vegas scene and underlined the pace-of-change theme
With robo-advisors on the rise, robo custodian Apex is rising with them, a diamond mined from the rubble of the Penson Worldwide debacle
May 1, 2015 at 6:19 AMCheaper, more paperless and early to market, the Dallas-based clearing house/broker-dealer is out to protect its lead as big RIA custodians play robo catch-up
