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A $103 billion AUA RIA storms TIAA-CREF's Northeast stronghold by poaching a hotshot from a $30-billion RIA in Greenwichland

CAPTRUST's 403(b) assets have jumped 60%, or nearly $5 billion, in AUA in one year and TIAA-CREF's $217 billion of 403(b) assets are still pretty untapped

Author Lisa Shidler September 16, 2013 at 5:36 AM
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Fielding Miller: There are so many schools and non-profits there. The Northeast is our new focus.

401(k) Stories

Stephen Winks

Stephen Winks

September 16, 2013 — 7:46 PM

Large RIAs like CAPTRUST with $100 billion plus in scale that provide highly honed skill sets in very specific market segments like 401(k) and 403(b) markets are very difficult for brokers in a generalized practice to compete with. If you can’t beat them then join them. The top advisors at the industry’s largest wirehouses with multi-billion dollar businesses themselves have joined CAPTRUST. They are no longer constrained by a brokerage format that does not acknowledge or support fiduciary standing and greatly enhance their value proposition in the process.

Fielding Miller’s CAPTRUST is a firm of the future where advisors gain control over their value proposition, cost structure, margins and professional standing—not possible in a brokerage format. Brokerage firm insularity does not allow b/ds to see themselves as high cost low value added alternatives as they would have to adapt and do not want to acknowledge they are on the wrong side of innovation.

Wirehouses, LPL, EnvestNet/PMC, Roll-ups and others may not be able to replicate the CAPTRUST’ sophistication/business model because they seek to avoid fiduciary duty—thus a self-imposed barrier to entry to high level advisory services in the consumer’s best interest. This is where the consumer is headed, and what investors and fiduciaries require by statute.

CAPTRUST is capitalizing on the brokerage industry’s inability to execute in advisory services. I bet CAPTRST gets to $200 billion before to TIAA-CREF reaches $250 billon. That is called market leadership and first hand operating know-how.




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