News, Vision & Voice for the Advisory Community


Articles published 10/2009


Publish date

McWhinney chooses someone she knows and trusts
October 30, 2009 at 3:53 PM

Dan Seivert: "Mergers, as opposed to acquisitions, may suit you better if you have little cash."

Beware the time goblins in M&A deals

Ask these eight questions before shopping for advisory practices

October 30, 2009 at 3:41 AM

Reed Colley: “We’re working on some really great ideas including CRM integration, workflow analysis and advisor communities

Black Diamond green lights beta testing of BlueSky

Reed Colley is wise to not rest on his laurels, observers say

October 29, 2009 at 4:54 AM

Peter Hess: “It’s more affordable and it’s more of an offering.”

Outsourcing begins to catch fire at Advent Software

Hess recognizes that a new breed of advisor doesn't want the 'dirty work'

October 28, 2009 at 4:28 AM

Kristina Fausti is watching for whether fiduciary standard will apply only to personalized investment advice provided to retail investors

SEC one step closer to losing oversight of most RIAs

But will budget-crunched states do a better job?

October 28, 2009 at 4:26 AM

Ed Friedman: “We ask them, do you really need somebody just to get lunch and coffee?”
October 27, 2009 at 4:13 AM

Reed Colley: “If we can’t make an advisor happy, we encourage them to find another solution that will.”

Black Diamond is winning big accounts from Advent at an impressive clip

The Florida-based upstart has tripled its pipeline of customers since 2008

October 26, 2009 at 5:11 AM

Bernie Madoff: Elie Wiesel trusted this solemn face and so did the heads of 150 foundations

Private foundations: Five steps to keep the next Bernie Madoff away from your assets

It's the process that matters; overly consistent returns are just one red flag

October 23, 2009 at 9:03 PM

Mindy Diamond says of today's breakaway prospects: These are numbers guys.

Top breakaway panel schools RIAs on how to create a cushier deal for financial advisors than a wirehouse

RIAs want to bring aboard wirehouse producers and they want to do it now

October 23, 2009 at 4:36 AM

James Burton sought to create easy-to-use platform

Fidelity to provide Wall Street-style access to international investments

Boston brokerage gets edge on close rivals but State Street is still king for global investing diehards, advisor says

October 22, 2009 at 7:01 AM

Mike Di Girolamo: “Advisors want to find out who their peers are.”

Raymond James shows it's serious about winning bigger RIAs

Raising minimums is part of creating an atmosphere more conducive to elite advisors

October 22, 2009 at 4:52 AM

Brian Hamburger: “I’ve been critical of investment advisers. I don’t think they’ve taken advantage of this time [of upheaval].”

Merger and breakaway experts convene near Princeton at old Merrill Lynch lair

Attendees will shares notes on how to dismantle wirehouse salesforces

October 22, 2009 at 3:31 AM

Patrick Sullivan has brought 80 fellow advisors under his firm's compliance umbrella

LPL Financial wins more breakaway brokers by sacrificing a revenue stream

Morristown Financial Group finds lucrative niche by taking over some supervisory duties from fellow brokers

October 21, 2009 at 4:08 AM

Liz Hayden: It should be possible to make across-the-board portfolio changes with just a few keystrokes
October 20, 2009 at 5:07 AM

Krawcheck tells InvestmentNews:“What we’re seeing now is independent advisers asking how they can join us."

6 things to consider when reading Sallie Krawcheck's comments in interviews

Critics say mixed motives may explain head-scratching comments by CEO of Merrill Lynch

October 19, 2009 at 5:11 AM

Barnaby Grist: “We think the rest of the year looks good but we can’t expect the strength of September to continue.”

Schwab and TD Ameritrade go on breakaway recruiting tear in September

Larger number of bigger teams seek greener pastures as RIAs

October 16, 2009 at 5:52 AM

Obama's quest for harmony may create dissonance for RIAs

Eight things necessary to keep RIAs from answering to SIFMA

Multiple strategies needed to counter deficit in numbers

October 15, 2009 at 5:47 AM

Matthew Cooper: “These guys are hyper-sensitive to changes in the grid.”

Citi advisors seek potential suitors after McWhinney's tectonic pay shift

Beacon Pointe is busy interviewing nervous Citi advisors

October 14, 2009 at 3:37 AM

Tom Bradley: Appreciated for making the big speech at small-budgeted conferences

The FPA convention hits its stride on Monday

Harold Evensky, Tim Kochis and Lou Stanasolovich provide lift during time of hard questions

October 13, 2009 at 4:29 AM

Les Abromovitz: It is imperative that RIAs routinely dust off the cobwebs on their website.

Outdated RIA websites risk compliance trouble not to mention credibility

Esteem from having a website gets squandered by neglecting its content

October 12, 2009 at 4:10 AM

Hardy Callcott was the FPA's feature attraction in drawing brokerage execs to Anaheim

FPA gets fast start in Anaheim with pre-event program for wirehouse execs and other non-members

Two-day program draws well for non-prime time of Friday-Saturday in LA suburb

October 10, 2009 at 5:38 PM

Bruce Bond:

Bond puts mutual fund assets in PowerShares' ETF sights

Barclays, State Street see less urgency for investing actively using passive vehicle

October 9, 2009 at 5:47 AM

Daniel B. Seivert: There are 16,000 advisors who will be moving to other channels

Why the time for advisors to buy other advisors is now picture perfect

RIAs are the last buyers standing as sellers get poised to unload thousands of wealth management practices

October 8, 2009 at 4:22 AM

Barney Frank on state regulators: “You have been an improvement on the federal regulators.”

Feds happily punt to states on advisor oversight

Move would take 33% of RIAs off of SEC's plate

October 6, 2009 at 9:55 PM

Bruce W. Maisel: Embraced the fiduciary standard on behalf of the American Council of Life Iinsurers

SIFMA's Taft makes anti-suitability comments but the fee crowd is wary

Mercer Bullard says that tiger is showing its stripes

October 6, 2009 at 9:33 PM

Deborah McWhinney: We really don’t have enough teams to serve the market

Citigroup puts RIAs at the center of its strategy to retain banking clients

McWhinney's custody plan for RIAs may reunite her with Charles Goldman

October 6, 2009 at 5:49 AM

David Tittsworth goes to bat for RIAs today [Tuesday]
October 6, 2009 at 4:32 AM

Thomas McGuirk: I didn't like the person I was during those three months

The number one obstacle to completing a clean breakaway from a wirehouse

Leading a double life is not for the faint of heart

October 5, 2009 at 7:50 AM

Marc Dreier told 60 Minutes: "The more money you look for, the fewer questions people ask sometimes."

What Bernie Madoff might have been thinking

The most telling excerpts from a 60 Minutes interview with a mega-swindler

October 4, 2009 at 7:33 AM

Steve Disenhof: The service offered by the broker-dealer's team will make or break the relationship

How to choose between the bewildering custody choices

Litman/Gregory took its time and checked all the boxes

October 2, 2009 at 4:12 PM


Charles Schwab will speak and his fellow CEOs will listen

Schwab chairman gets short-changed one award, says other recipient

October 2, 2009 at 4:57 AM

Lyle Sussman: "I am troubled by the disconnect between the (client's) need and yet the (financial advisor's) lack of training."

Financial advisors cross the CFP's ethical line when they play pychotherapist, study says

Questions are raised about whether advisors have enough training

October 1, 2009 at 3:52 AM

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