Articles published 1/2017
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Jon Stein unleashes elite RIA referral unit as crown jewel of grand Betterment plan to sell virtual fiduciary advice
January 31, 2017 at 10:11 PMRobo's CEO names Vanguard, Fidelity and Schwab as market-share targets of his advice offensive across the full spectrum of affluence
Why RIA clients still see alternatives as a 'mishmash' and 17 other cheat-sheet items for advisors in 2017
January 30, 2017 at 6:05 PMRob Isbitts's well-researched quick takes that'll educate an RIA in 10 minutes on items from margin debt and corporate earnings to house-flipping
The real Ron Carson story is that most assets went to Fidelity and TD Ameritrade where technology allows him to execute his vision
January 27, 2017 at 6:51 PMThe big talk was the lateral move of some assets to Cetera but it was more a smokescreen for a breakaway
New TD Ameritrade CEO, fresh from bank, will 'reassess' putting TD brand on products and redefining open architecture
January 26, 2017 at 11:05 PMTim Hockey, poised to meet advisors in San Diego next week, allows that RIA business is a 'real gem' but may also be priming the pump to put more proprietary products on the shelves at 600 TD and Scottrade branches
Susceptible to acerbic tweets, Wall Street women report back being happily exhausted, starving, determined and 'nasty'
January 25, 2017 at 7:36 PMBut for one jarring tweet, three women call event epic but peaceful, and a sure-fire cure for that post-election funk
While Advisor Group's high-powered organic growth strategy unfurls, Valerie Brown unleashes Steve Chipman to do the inorganic wet work of rolling up IBD orphans -- and maybe even some RIAs
January 25, 2017 at 3:53 PMPoached from Foothill Securities, Chipman cites his former employer as the reason he can talk the talk of his quarry -- smaller firm execs seeking a port in a fiduciary storm
Wide-ranging complex director and wirehouse veteran is new regional exec for Boston office of Alex. Brown
January 24, 2017 at 7:36 PMAscensus appoints longtime Vanguard alumna Carolyn Fraser as VP of relationship management
January 24, 2017 at 7:21 PMHow a Schwabian picture is emerging as Bob Oros joins John Clendening as chief of 4,500 underachieving HD Vest reps
January 24, 2017 at 12:17 AMEx-Schwab retail chief Clendening makes the ex-Fido RIA chief his new CEO -- with ambitious plans in an atmosphere of revenue-sharing, variable annuities and commission sales
Wall Street women pile into buses and cars, head south on I-95 to protest Trump
January 21, 2017 at 2:06 AMPack up that Nasty Woman T-shirt for a pre-dawn trip and client blowback be damned
DOL rule will be undone, in a cruel twist, by the Department of Labor -- essentially by a Trump order to cut red tape by staying the Texas court case
January 20, 2017 at 11:42 PMJason Roberts at Pension Resources Institute: It's the DOL itself saying 'maybe we got this wrong' as a means of giving cover to delay.
How the Trump phenomenon boils down to the benefits of animal spirits vs. Animal House
January 20, 2017 at 5:34 PMStay open to the possibility that tapping into our inner American rogue will yield untold benefits but be ready to hold the politicians accountable if the experiment fails
The time is now for the investment industry to shed its shameless culture or pay a steep price
January 19, 2017 at 7:03 PMEnough feeble excuses and convoluted rationalizations for delaying the DOL rule
Addepar secures Morgan Stanley account by winning a test of wills and unleashing a small army on Manhattan
January 18, 2017 at 9:29 PMDespite initial skeptics, industry pressure pushes first wirehouse into line, but will others feel the burn?
A veteran securities lawyer takes contrarian stance that the DOL is still 'suitability' reworded, when boiling its 1,000-page 'rule' down to 16-page 'guide'
January 18, 2017 at 6:23 PMIn prolix prose, the Labor Department's 'exemptions' sound like fiduciary exceptions; as poems, they sound like suitability-level loopholes
First Republic pays $20 minimum wage in an act of altruistic self-interest
January 17, 2017 at 8:36 PMOwner of a $83.6-billion RIA roll-up, the San Francisco-based bank reacts to tightening labor supply, political pressure and its own good cash flow
Ascensus appoints Christian Fulmino as VP of corporate development and M&A
January 17, 2017 at 3:51 PMFulmino's CV includes stints at Broadridge and News Corp.
Top ERISA and employee benefits law firm takes on new partner
January 17, 2017 at 3:36 PMDan Brandenburg will join the Boston-based firm's D.C. offices
Fidelity begins search for new RIA national sales manager as Bob Oros goes millennial, vacating a prized position
January 14, 2017 at 1:51 AMThe kids pioneered the mindset but now the Oroses of the world grab quality-of-work, make-a-difference opportunities that their experience allows them to command
Natixis and Fidelity alumna joins New England Investment & Retirement Group
January 13, 2017 at 8:30 PMJulie Colucci was also senior client associate at Silver Bridge Advisors, formerly Hale & Dorr Wealth Management
'Jessie from Pennsylvania' blindsides a monotone Vanguard webcast and CEO McNabb deftly embraces his critic
January 12, 2017 at 10:33 PMThe inquiring gadfly at the 2017 markets chat got in her shot about Vanguard's value proposition and the Vanguard chief humble-bragged about his company's problem of too much volume
Who's afraid of Virginia Foxx and friends? Maybe pro-DOL forces should be but no panic yet
January 12, 2017 at 12:49 AMWith nine days and counting until President Trump, Conservatives deploy fresh troops in Washington with guns trained on the DOL rule
Why Valerie Brown is doing 19-whistlestop tour with her new CEO to sell -- ironically -- deep price cuts and a TAMP-for-millennials
January 11, 2017 at 2:26 AMThe executive chairman and Jamie Price slash bond and ETF trading costs, roll-out robo-turnkey and create so-called NTF platform for brokers
Michael Sperduto to cover Erie territory Ascensus as regional sales VP
January 10, 2017 at 8:23 PMThe sales manager who was once an advisor was previously with ADP Retirement Services
Andy Hockman to cover Ohio Valley as regional VP of sales for Ascensus
January 10, 2017 at 8:03 PMThe 14-year veteran of sales in the retirement arena comes to the firm from CUNA Mutual Retirement Solutions
Jason Miller joins Pentegra as regional director for Western region
January 10, 2017 at 6:35 PMThe Great West alumnus will lead the business development efforts in Western states and Hawaii
RIA value is exciting when the dynamism of moderation is understood and put in the right words
January 9, 2017 at 10:14 PMRegistered investment advisors know that finding equilibrium isn't simply 'the middle' but a dynamic shifting process using mind and heart
A wider window opens on David Zier tragedy as Convergent is made to pay and FINRA and SEC make themselves scarce
January 6, 2017 at 10:46 PMThe life insurance on the suicide was executed with chilling precision by the ex-CEO and the CFTC was called in to do the regulatory dirty work
Where RIABiz's view of RIAs as oases-of-ethics bumps up against the Merrill Lynch & Co. mirage -- and why that mirage is still so effective
January 6, 2017 at 6:33 PMFiduciary watchdog Knut Rostad warns that RIAs must zealously expose wirehouses tricked out in best-interests-of-the-investor drag
Why a broken RIA sales strategy is more of a repairable passion problem
January 5, 2017 at 6:07 PMRemembering your value busts up the dilemma of selling within a circle of friends
After leaving Envestnet, Jay Hummel pops up at American Century with a 21st century plan
January 4, 2017 at 7:06 PMThe former 'thought leader' is moving three children to Kansas City to more rapidly move the old-line mutual fund company to action
Why 2017 dawns brightly for RIAs, an oasis of unflinching ethics in an ethics-optional atmosphere
January 3, 2017 at 10:50 PMThe better part of registering with the SEC directly as an RIA is that nobody is making you do it and clients can feel it even if they don't fully understand your poorly phrased explanations
