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Articles published 10/2009


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McWhinney chooses someone she knows and trusts

McWhinney gains aid of Myra Rothfeld

Citi continues to draw on former Schwab talent

October 30, 2009 – 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 – 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 – 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 – 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 – 4:26 AM

Ed Friedman: “We ask them, do you really need somebody just to get lunch and coffee?”
October 27, 2009 – 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 – 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 – 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 – 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 – 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 – 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 – 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 – 4:08 AM

Liz Hayden: It should be possible to make across-the-board portfolio changes with just a few keystrokes
October 20, 2009 – 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 – 5:11 AM

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