Articles published 1/2016
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Ex-Lockwood CEO Steve Dunlap takes on role at FolioDynamix after being a customer with a bone to pick
January 29, 2016 at 9:04 PMWith new Actua ownership, Dunlap and capital, FolioDynamix CEO Joseph Mrak says his firm has Envestnet in its sights
Tick, tick, tick ... FINRA rewrites 'culture,' 'conflicts of interest' and 'ethics' into a farcical 'best interests' code after DOL drops a bomb on its suitability ethos
January 29, 2016 at 6:33 PMIn its latest burst of bureaucratic creativity, the wirehouse cop acknowledges the scourge of Wall Street culture then quickly excuses the behavior it elicits
A fresh look at the seemingly preposterous notion that cheap oil is somehow harmful
January 28, 2016 at 11:22 PMNet-net, an energy glut affords big benefits but the systemic shock, markets, economies and geopolitics, pose plausible threats
Vestorly makes play for RIA browsers with $4.1 million of VC funding -- tiptoeing past prowling issue
January 28, 2016 at 9:15 PMJustin Wisz's robo-marketing for advisors already serves RIAs like Halbert Hargrove but now he's reaching for a higher rung of robotics
Betterment adds 50 firms to its new 401(k) plan -- and IBM and Marcia Wagner connections
January 27, 2016 at 7:24 PMSmaller companies with Betterment-ish-sounding names like Earnest Operations and Boxed are the early guinea pigs but big dogs are on the robo's 401(k) board of directors
Why Lightyear's purchase of AIG Advisor Group isn't a Cetera-type fixer-upper case and how Donald Marron will respond accordingly
January 26, 2016 at 8:47 PMThe New York-based private equity firm picked up ING's brokers in 2009 for a song after market meltdown but AIG networks has intangible value as a survivor
LPL keeps on stockpiling tip-top compliance execs, with JP Morgan's ex-CCO the latest
January 26, 2016 at 4:11 PMTracy Calder joins a lengthening line of hires that follow a deluge of SEC fines
Bill McNabb declares 'bull market' for RIA advice then downplays role of Vanguard Personal Advisor Services
January 26, 2016 at 12:56 AMThe Vanguard CEO sees new era of 'advisor alpha' facilitated by software and low costs
As OneSource asset levels falter, Schwab slashes no-transaction-fee minimum to invest
January 22, 2016 at 10:05 PMThe San Francisco-based firm is first to create published minimums and all the Big Three custodians point fingers at recalcitrant asset managers
Three ways RIAs can reassure clients when they're feeling none-too-assured themselves
January 22, 2016 at 12:23 AMThe objective isn't to cure the disease but to treat the myriad of symptoms being experienced until healing can occur
Any bulls left? If not, that could be a good thing, opines LPL Financial's CIO
January 21, 2016 at 7:56 PMThe ominious 'death cross' phenomenon suggest the market could be scraping bottom
In a deal made in Schwab land, a $1 billion Boulder RIA buys smaller rival but takes the bolder name of its quarry
January 21, 2016 at 7:35 PMSargent Bickham Lagudis rebrands under $250 million AUM Colorado Financial Management in search for newly prosperous clients
As Schwab noncompete expires, Steve Cucchiaro jumps back into the ETF management game with old staff
January 20, 2016 at 9:34 PMAfter selling $4.5-billion Windhaven to Schwab for $150 million he eventually left at $19 billion, then missed the culture of independence
How the mastermind of the Luminous Capital breakaway is parlaying his cloak-and-dagger skills into 'Pure Financial Independence'
January 19, 2016 at 8:38 PMWith his wife, Larissa, as sidearm, Matt Sonnen seeks to fulfill a niche for a service level between John Furey and Shirl Penney
Two RIA M&A firms merge -- sort of -- when they're not competing head-to-head
January 19, 2016 at 6:20 PMPark Sutton and Advice Dynamics Partners are trying out the power of two, without too much heavy paperwork
As the S&P 500 shoots below the moving averages, how much more should we worry?
January 15, 2016 at 10:49 PMMore. But at about 14.75x forward earnings, or the levels of mid-2013, so far, so normal.
Focus Financial bags $3.1 billion, 50-person RIA and why it 'really is impressive'
January 15, 2016 at 3:20 PMKovitz Investment Group becomes the roll-up's fourth Chicago holding -- and maybe the most ambitious
What the deletion of no-drama Greg Fleming bodes for Morgan Stanley, wirehouses and CEO James Gorman
January 14, 2016 at 9:56 PMMoves leading up to the 52-year-old Yalie's departure, made under duress, removed the CEO's chief rival and chief heat shield
How exactly Invesco plans to get a return on its Jemstep robo purchase with a TAMP-evoking strategy
January 13, 2016 at 9:39 PMThe $800-billion Atlanta money manager is trying a modern model portfolios play on buying distribution for a more prominent seat at the table
Vanguard's virtual RIA adds $10 billion in last six-month period, an acceleration to $1.6 billion per month of net new assets
January 12, 2016 at 10:40 PMDoes Vanguard's Personal Advisor Services' zoom to $31 billion makes it a the 'single greatest threat' to classic RIAs?
Why the RIA business starts 2016 without its swagger: 2014 and 2015
January 11, 2016 at 11:42 PMWhat's hot right now? Almost nothing and nobody. But it might be a 'healthy correction' of equilibrium
With algorithms and awkward questions, an ex-PIMCO 32-year-old crashes the RIA business
January 9, 2016 at 12:17 AMMin Zhang will literally size you up and analyze your life like an actuary with Totum Wealth
An $8.4 billion wealth manager emerges in Milwaukee after old RBC spinoff, Cleary Gull, finds local love
January 7, 2016 at 10:47 PMJohnson Financial Group adds 40 advisors and $2.1 billion but does a reverse branding merger
Need an up-to-the-minute 2016 RIA model? Read the large print in Brooke's hypothetical Southall Advisors RIA brochure
January 6, 2016 at 10:45 PMIn a world of undifferentiated wealth managers, a culture of millennial-style openness addresses the core issues -- trust and accountability
Joan Khoury gets hired as CMO to revive brand of the other Oppenheimer
January 5, 2016 at 11:10 PMLPL's ex-marketing chief comes to the long-forgotten wirehouse believing its long history provides grist for a compelling narrative
Tony Sirriani buys AdvisorHUB
January 5, 2016 at 5:08 PMThe founder and former CEO of Washington Wealth Management vows not to 'sell out' but AdvisorHUB's new business model is still being developed
The 10 biggest RIA moves of 2015 and what conclusions to draw from them
January 4, 2016 at 9:28 PMPE dollars, succession angst, women executives seeking same and, of course, the robo sweepstakes spurred these advisor-entrepreneurs to dare and to risk much
