Articles written by By Lisa Shidler


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RIA lobby fires off letter to DOL claiming rules aimed at reining in overzealous stockbroker sales pitches chill RIA conversations with their prospects

The IAA's letter to the Labor Department asks that RIAs not get entangled in rules designed to prevent stockbrokers from making misleading pitches

April 20, 2017 — 5:16 PM UTC

Joel Bruckenstein pitches DOL rule to Sen. Marco Rubio after fate makes them JetBlue seat mates

Rubio opened up on small investors and retirement issues -- and cracked wise about the Russians

April 17, 2017 — 6:38 PM UTC

Why ProShares yanked ETFs from Schwab's no-commission OneSource ETF exchange

The fund firm puts faith in the drawing power of its own brand -- and saves more than $2 million

April 3, 2017 — 7:04 PM UTC

As Goldman Sachs' badly kept secret about branding an advice robot leaks out, Goldman-watchers see contours of Lloyd Blankfein's grand if 'scattergun' virtual advice strategy take shape

The NYC investment bank's CEO may be saving the Goldman brand for last after smart beta ETFs, Honest Dollar, Motif and 'Marcus by Goldman Sachs' are up and running

March 30, 2017 — 7:20 PM UTC

HighTower parts ways with -- and doesn't replace -- the dealmaker who has 'worked on more breakaway transactions ... than anyone in the industry'

Elliot Weissbluth's gun-slinging No. 2, Mike Papedis, moves on after HighTower's assets declined, deals waned and the once-loud company took on an indoor voice

March 21, 2017 — 9:53 PM UTC

What happened next after a Wall Street analyst called Walter Bettinger on the carpet for capping virtual RIA's fees

The Schwab CEO cedes no ground to Rich Repetto and others who come to San Francisco to question whether shareholders are losing as investors win

March 17, 2017 — 8:06 PM UTC

Peter Mallouk-Tony Robbins partnership set to soar on new book but quid-pro-quo details of pact between $23-billion RIA and super-salesman are still murky

'Unshakeable' may drive $1 billion-plus in referrals to Creative Planning but just how much lands in Robbins' wallet is undisclosed

March 1, 2017 — 10:59 PM UTC

Where Puzder's exit leaves the fiduciary rule, the DOL's bastardized mission and whether the new appointee prospect is a patsy

New nominee is law professor Alexander Acosta with a more politically correct profile but a similar stance on where power should lie in a free enterprise system

February 16, 2017 — 6:44 PM UTC

Apex Clearing adds Ron Fiske to its Pershing mafia as it plays bigger for emerging asset class -- RIA digital

Fiske departs Envestnet to rejoin Apex CEO William Capuzzi, a former Pershing colleague, to build on Apex 'big league' success as custodian for firms like Betterment and Wealthfront

February 8, 2017 — 10:05 PM UTC

Rekindling old feud, Michael Kitces blasts Betterment, if civilly, for stealth price hike and other shortcomings

The blogging phenom puts love-hate relationship with the New York robo phenom on display as he calls out Betterment's sustainability and growth-rate problems, but as a customer still sees more to love than hate

February 6, 2017 — 11:48 PM UTC