Articles Published 3/2015


HeadlinePublish date

My 10-year journey from a BoA call center to establishing a solo $73-million AUM RIA

I established my own business two years ago with a pitch [and fee structure] so appealing I don't always finish it

March 31, 2015 — 7:46 PM UTC

SEC denies Freedom of Information request by RIABiz related to Virtus funds as Ameriprise and TD Ameritrade become latest biggies to cut ties

The regulator's non-response isn't proof of an investigation but big broker-dealers continue to see smoke as fire -- and Virtus's own SEC docs seem to warn of potential trouble brewing

March 30, 2015 — 5:19 PM UTC

How an iPhone app cut through stilted questioning at Barron's RIA custody panel in Scottsdale

Sterling Shea invited advisors to vote on pressing RIA questions via iPhone -- and they acidly asked Bernie Clark whether Schwab is robo-competing against them

March 27, 2015 — 7:13 PM UTC

Why EF Hutton's rebooters took the arse-backward tack of selling public shares and buying a brand before developing a product

CEO Chris Daniels is betting the brand's 20th century fame combined with 21st century digital technology -- and a Nasdaq listing -- will translate into success

March 26, 2015 — 8:02 PM UTC

In reply to SEC, Howard Present blames bad advice for any alleged wrongdoing

The F-Squared founder cries foul for what the SEC calls fraud

March 24, 2015 — 10:49 PM UTC

Schwab is accelerating its software upgrading pace on the back end

The San Francisco-based firm's front-end technology surpasses the system's foundation, which is OK for now, but the bill is coming due

March 24, 2015 — 8:18 PM UTC

Trade publication critiques the inhumanity of Schwab's robo advertising

AdWeek notes the Blue's oh-so-calm, 'kill-all-the-humans' voice

March 24, 2015 — 4:59 PM UTC

Schwab makes thousands of its RIAs subject to fee for robo-software, allocation of client cash to Schwab Bank

The San Francisco firm told RIAs on a webcast that their firms must have $100 million on account or pay for robo-software

March 23, 2015 — 7:21 PM UTC

Found innocent after being sentenced to jail for alleged bilking of an old lady, Glenn Neasham struggles to rebuild his career

Former Vikings quarterback-turned-marketer Fran Tarkenton is scrambling to help but Neasham is delivering pizzas at night

March 20, 2015 — 8:38 PM UTC

For sub-$500k accounts, Schwab is sweeping RIA client cash into its bank, pumping up corporate profits

Unlike the robo, RIAs can manually direct funds to money market funds which makes this change less controversial

March 19, 2015 — 5:51 PM UTC

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