Articles Published 6/2013


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Making sense of Steve Dunlap stepping into Barnaby Grist's 'big shoes' as Cetera's RIA czar

The Lockwood, Pershing and Schwab alumnus with a products and PM background is tasked with leading strategic development and expansion of Cetera’s RIA unit

June 28, 2013 — 12:59 PM UTC

Why only 14% of RIAs volunteer complete pricing information to clients and why selective fee disclosure is not a winning strategy

News flash! Clients don't care what goes in your pocket as long as they know the fees you charge are competitive

June 27, 2013 — 4:05 AM UTC

Black Diamond divulges 'unbelievable' data about how Advent is doing, two years after its $73-million buy

The growth at the Jacksonville, Fla.-based RIA unit is pretty stunning, but competitors say that Axys users are still ripe for the picking

June 26, 2013 — 5:12 AM UTC

How Scott Dell'Orfano is helping to double the size of Banyan Partners just six months after leaving Fidelity

The former national RIA sales exec at Fidelity brings charisma and vision to the task of making unlikely mates of his Florida company and a whiter-gloved Silver Bridge.

June 25, 2013 — 9:51 PM UTC

What 'historic' deal James Gorman really closed by paying Citigroup to release its tentacles from Smith Barney?

The implicit mission of Morgan Stanley in hiring the ex-Merrill Lynch brokerage chief was to switch market positions with Merrill -- and perhaps thats just happened?

June 24, 2013 — 6:02 PM UTC

Why keeping FINRA from ruling RIAs is critical to these firms, the investor -- and even the U.S. economy

In Part 1 of a four-part series, our One Man Think Tank pulls back the lens to look at how the resolution of the fiduciary furor could reverberate nationwide

June 24, 2013 — 4:03 AM UTC

This $9-billion Philly RIA is launching an ETF company financed by Chinese private equity

Vince Lowry, an ex-cop and Smith Barney managing director has made a big bet on Chinese ETF market that's mushroomed from $12 million $38.8 billion in the last decade

June 21, 2013 — 1:13 PM UTC

Fidelity's M&A program reload looks 'game-changing' after it partners with a middleman to get Uncle Sam to guarantee RIA deals

The piece de resistance is a maverick-owned North Carolina bank with an RIA-savvy ex-Schwabbie and software that fights SBA red tape

June 20, 2013 — 5:53 AM UTC

Top RIA business executive recruiter chides 180 women gathered in a New York ballroom for second-guessing themselves

The make-no-excuses female headhunter, Cecile Munoz, says men claim the power after women 'self-select out'

June 20, 2013 — 4:10 AM UTC

This Atlanta roll-up start-up plans to reach $1 billion right quick by using hedge fund cash to execute a Schwab template

Scott Wilder offers a 'home' for the $50M-$100M RIA with a no-fine-print 70% payout, Four Seasons offices and a piece of the pie

June 19, 2013 — 5:34 PM UTC

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