Articles Published 4/2013


HeadlinePublish date

Raymond James' two-hatted Helck addresses his advisor crowd on both levels

The CEO believes a 20-year war may yet be won

April 30, 2013 — 7:34 AM UTC

Mark Hurley drops a new wealth management prognosis on the industry with a zero-sum flavor

With the best clients aging, RIA business will be shaped by how about 2,000 'tweener' firms react to fast-deteriorating business conditions

April 29, 2013 — 6:06 PM UTC

Round 2 in Vegas: Finance Logix advisor conference ponders simplicity as sophistication

As the RIA industry matures, first-time buyers are gone and differentiation is the name of the game

April 29, 2013 — 6:04 PM UTC

LPL, Raymond James and TD data -- and Walt Bettinger, Mike Durbin comments -- reveal rotten first quarter for breakaways

Mark Casady's explanation is hard to swallow for Danny Sarch, Mindy Diamond; Bettinger inveighs against 'rat trap' of checkbook recruiting; Ryan Shanks says advisors are "numb to the chaos"

April 26, 2013 — 5:17 PM UTC

Dale Brown tells RIAs why SEC's fiduciary standard is too costly for their clients

Invoking his own parents' small nest egg, the FSI chief projects a 2015 Finra takeover of SEC duties for RIAs

April 26, 2013 — 4:26 AM UTC

Two Raymond James advisors relate details on how they segmented clients to get big and successful

At the broker's annual event in Dallas, two advisors told their stories with generous details

April 25, 2013 — 7:23 PM UTC

Bill Dwyer tells RIAs to advise more -- albeit with heavy use of products -- and tips his hand about his for-profit future

In Philly, the former LPL super-exec talks a very RIA game but seems to hint at FINRA-as-king and getting advisors out of investment advice

April 25, 2013 — 6:35 PM UTC

Schwab CEO issues 'sincere' apology, reassures on data security and calls attacks a 'fact of life' after website goes down

Walt Bettinger also declares mea culpa surrounding long wait times for telephone service late on Tuesday

April 25, 2013 — 3:08 AM UTC

Schwab's website went down twice after two 'denial of service' attacks -- so what was up?

The San Francisco-based broker showed that even it's not immune to web fritz; RIAs take it in stride though not without administering a healthy dose of schadenfreude

April 24, 2013 — 5:10 PM UTC

Why you won't know your female clients are unhappy until they're out the door

By 2020, women will control $22 trillion -- 25% more than today's national debt; that's not a segment you can afford to lose

April 24, 2013 — 5:08 PM UTC

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