Articles written by Brooke Southall


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DOL rule will be undone, in a cruel twist, by the Department of Labor -- essentially by a Trump order to cut red tape by staying the Texas court case

Jason Roberts at Pension Resources Institute: It's the DOL itself saying 'maybe we got this wrong' as a means of giving cover to delay.

January 20, 2017 — 11:42 PM UTC

How the Trump phenomenon boils down to the benefits of animal spirits vs. Animal House

Stay open to the possibility that tapping into our inner American rogue will yield untold benefits but be ready to hold the politicians accountable if the experiment fails

January 20, 2017 — 5:34 PM UTC

First Republic pays $20 minimum wage in an act of altruistic self-interest

Owner of a $83.6-billion RIA roll-up, the San Francisco-based bank reacts to tightening labor supply, political pressure and its own good cash flow

January 17, 2017 — 8:36 PM UTC

Fidelity begins search for new RIA national sales manager as Bob Oros goes millennial, vacating a prized position

The kids pioneered the mindset but now the Oroses of the world grab quality-of-work, make-a-difference opportunities that their experience allows them to command

January 14, 2017 — 1:51 AM UTC

Why Valerie Brown is doing 19-whistlestop tour with her new CEO to sell -- ironically -- deep price cuts and a TAMP-for-millennials

The executive chairman and Jamie Price slash bond and ETF trading costs, roll-out robo-turnkey and create so-called NTF platform for brokers

January 11, 2017 — 2:26 AM UTC

RIA value is exciting when the dynamism of moderation is understood and put in the right words

Registered investment advisors know that finding equilibrium isn't simply 'the middle' but a dynamic shifting process using mind and heart

January 9, 2017 — 10:14 PM UTC

Why 2017 dawns brightly for RIAs, an oasis of unflinching ethics in an ethics-optional atmosphere

The better part of registering with the SEC directly as an RIA is that nobody is making you do it and clients can feel it even if they don't fully understand your poorly phrased explanations

January 3, 2017 — 10:50 PM UTC

Vanguard and BlackRock slash prices at Christmastime but only Vanguard feels the need to defend its actions

The Malvern, Pa. giant is just doing what it always does, CEO Bill McNabb says, and it isn't just 'another volley fired in the fee war'

December 27, 2016 — 5:27 PM UTC

Eric Clarke hatches plan to put RIA fees front and center by applying sunlight to 1.5 million accounts

The president of Orion Advisor Services mined the fee information of the 1,000 RIAs who use his software

December 23, 2016 — 7:25 PM UTC

Schwab unveils its virtual future to plaudits but using green CFPs as its real people, mandatory 6% cash, could prove troublesome

Move to launch 28 basis-point Schwab Intelligent Advisory by summer checks all boxes on price, robo, planning, ETFs -- and commoditizes what RIAs sell for three times the fee

December 15, 2016 — 6:11 PM UTC