Articles Published 9/2012


HeadlinePublish date

Not without criticism, TD Ameritrade opens an 'insurance agency' for RIAs that want to provide annuities

Schwab says it will also use more annuities to meet the swelling demand for retirement income but Jefferson National's CEO questions the custodians' focus on traditional annuities

September 28, 2012 — 4:19 PM UTC

How Charles Goldman, Philip Palaveev, Brian Hamburger and Tim Oden -- and my cabbie -- caught my attention at MarketCounsel Summit

Tussles over scale, branding and professional service played out vividly in Vegas

September 28, 2012 — 4:17 PM UTC

After three RIA division heads in five years, Nuveen looks to ex-Schwab star to shift into higher gear

The $211-billion Chicago giant is counting on Jeff Cusack to introduce an alternative investments flavor to spice up its more vanilla offerings

September 27, 2012 — 4:27 PM UTC

Cerulli: RIAs and hybrid RIAs make giant advances on banks and wirehouses in the 401(k) race

DOL guidance is making a difference and so is bank and wirehouse reluctance to take on fiduciary risk

September 27, 2012 — 3:48 AM UTC

How a $12 billion RIA grew to $20 billion in less than a year by raiding 401(k) accounts from legacy players

Randy Long boasted that he'd pick off the big boys' clients and came through with the help of a crack team of 12 young turks

September 26, 2012 — 3:48 AM UTC

LPL Financial finds a starting place to bring Fortigent into its mainstream mix

The big broker-dealer will leverage the acquired firm's alternative-investments research and portfolio management with a new offering

September 26, 2012 — 3:29 AM UTC

Eric Clarke delivers a behind-the-scenes account of his own Gemini & Orion Advisor Forum

The Orion chief was taken aback by overwhelmed advisors but found time for predawn runs, a pep talk from a legendary coach, a tour of the Cowboys' stadium and the launch of 80 apps

September 25, 2012 — 6:42 PM UTC

What exactly the CEOs of HighTower, Focus Financial and Dynasty Financial revealed when they shared a stage in Las Vegas

Aggregator honchos appeared together under the unloved roll-up tag to highlight differing and evolving facets of their firms

September 25, 2012 — 4:49 AM UTC

Ron Carson launches roll-up/TAMP-like venture with Envestnet, TD Ameritrade and Advizent as puzzle pieces

The biggest of LPL's affiliates shows a walk-before-run approach to inorganic growth

September 24, 2012 — 5:15 AM UTC

Joe Duran lays out his latest case for why wirehouses -- and classic RIAs -- risk losing out to a coming oligopoly of new-model holistic firms

The coming 'life management' model won't be addressed by the big guys or the little ones in this very young industry, says the United Capital CEO

September 21, 2012 — 4:40 PM UTC

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