Articles Published 9/2015


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Schwab alerts its RIAs that it will liquidate client money market holdings by Dec. 1

The San Francisco-based broker is shipping all cash in sub-$500K accounts to its bank

September 30, 2015 — 8:35 PM UTC

Philip Palaveev and Bob Oros create Hunger Games-style RIA high jinks for Fidelity execs, then release it for wide consumption

The reality TV-Harvard Business School hybrid throws simulated market crashes, personal tragedies and M&A what-ifs at green FAs to test their mettle and groom them for succession

September 29, 2015 — 10:31 PM UTC

A palpable camaraderie accrues in Boston as FPA provides support group for lonely CFPs and the atomized niche firms that serve them

There were RIAs and IBDs galore -- but no wirehouse reps -- on hand for a much-anticipated robo slug-out between Kitces and Sokolin

September 29, 2015 — 8:27 PM UTC

Relying on men but 'losing sleep' Sallie Krawcheck seeks to robo-reap women investors with Ellevest

Industry luminaries Joe Mansueto, Mohamed El-Erian, Ajay Banga and Robert Druskin -- never mind co-founder Charlie Kroll -- make up a stellar roster of male executives backing this play for women's wealth

September 28, 2015 — 10:46 PM UTC

Amid papal euphoria, a bullish ETF event at NYC's Conrad Hotel where pros plot the next few trillion of assets

Tom Lydon's fundfest had everything from Deb Fuhr's dry intellectualism to Josh Brown's New Yok F-Bombs, with all the Powershares, BlackRock iShares, State Street power players represented

September 26, 2015 — 7:42 PM UTC

10 years after Eliot Spitzer, Vanguard Group changes back its frequent trading policy

The 60-day rule hurt investors more than helped, the Malvern, Pa. firm's exhaustive studies concluded

September 25, 2015 — 8:05 PM UTC

This time Envestnet plays most cards face up as analysts press again for cogent Yodlee deal rationalization

Jud Bergman supposes, though not until 2020, that the merger will yield an extra $200 million in revenues

September 24, 2015 — 11:44 PM UTC

How Facebook's unfriendly new privacy strictures are edging RIAs into the social media monster's business-page boonies

Third-party data culling and archiving firms like Hearsay and Smarsh are scrambling for workarounds as the data spigot runs dry and new compliance challenges loom

September 24, 2015 — 6:10 PM UTC

The wild ride that Goldman Sachs took to launch its first ETF -- one that even an RIA could love?

Three years of leaking assets in $1 trillion Goldman Sachs Asset Management pushed Lloyd Blankfein to treat the unit like a deal leading to acquisitions, hires and an exchange traded fund strategy

September 23, 2015 — 7:42 PM UTC

The peculiar sentencing scenario involving Andrew Parish, AdvisorHUB, lenient prosecutors and an atypically forgiving IRS

The slashing blogger will continue the legal fight, he says, but for now incarceration seems inevitable

September 23, 2015 — 5:20 PM UTC

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