News, Vision & Voice for the Advisory Community


Articles published 11/2009


Publish date

Rudy Adolf: Some people just want to make a lot of noise

What's really going on with Focus Financial?

Somebody is going to be unhappy in a large organization, Adolf says

November 30, 2009 – 6:17 AM

Like Tom Turkey, many RIAs were thankful to survive 2009

Taking A Break From the Turkey?

RIABiz's top 10 stories from the past month offer a window into what RIAs care about

November 26, 2009 – 4:28 AM

Charles Goldman: Service and knowledge of clients’ accounts is not the place to skim.

Goldman aims to make red carpet service for RIAs universal at Fidelity Investments

Boston investing giant is showering tip-top clients in service but it won't stop there, advisor exec says

November 24, 2009 – 6:14 AM

Dan Vickrey: “We’re concerned about money because we have a career that could end any day.”

How an RIA won a Counting Crow away from a Paine Webber broker

Vickrey takes the advice of fellow Crow's father

November 23, 2009 – 6:23 AM

Malcolm H. Gissen: “I think there’s some ego involved to be honest.”

San Francisco RIA is knockin'em dead in mutual fund land

Gissen invests in small companies, focuses on communication with executives

November 23, 2009 – 6:17 AM

Barnaby Grist: “The success of independent investment advisors has not gone unnoticed by the industry at large."
November 20, 2009 – 1:33 PM

Share your breakaway story: email elizabeth@riabiz.com
November 20, 2009 – 6:23 AM

Les Abromovitz: Not surprisingly, advisors' hypothetical case studies have happy endings.

Advertising practices that can raise the hackles of regulators

Photos, staff plaudits and hypotheticals are still testimonials by any other name

November 19, 2009 – 4:05 PM

Matt Abar: "I do feel responsible for what happened."

[Story preview] Matt Abar is back to tangle with Advent Software -- with a vengeance

Techfi founder is making up for lost time after noncompete expires

November 19, 2009 – 4:57 AM

FinFolio's graphs are all available on-the-fly, without running reports.

FinFolio looks to offer unprecedented flexibility and power, with an intuitive interface

Nevin reviews upcoming Portfolio Management System from the makers of AdvisorMart

November 19, 2009 – 4:55 AM

Doug Swope: There’s no independence per se [at a wirehouse]. You’re [restricted] by the [inventory of] products.

Independent-within-Smith Barney breaks away after hitting wall

Former Smith Barney peers light fuse for Swope independence

November 18, 2009 – 6:17 AM

Don Schreiber Jr.: One problem with buy-and-hold is that when investors are faced with 40% to 50% declines, they sell to preserve their remaining capital.

Dividend stocks deserve a second look at a fearful time

This investing approach recognizes that individuals differ from institutions

November 17, 2009 – 8:04 PM

Thomas B. Lewis: “There are RIA firms joining that are trying to recruit large producers.”

RIAs drive explosive growth of the Broker Protocol; signatories triple

The wirehouse legal truce is now a poaching tool for advisory roll-ups; Merrill Lynch applauds its wide use

November 17, 2009 – 4:49 AM

Patrick Williams: “People say print media is dead but I have $51 million that says they are wrong.”

Worth magazine's new owner rights ship by charging wealth managers for write-ups

Dozens of financial advisors ante up $30,000 for Worth brand association

November 16, 2009 – 6:27 AM

Martin Kurtz: "The concerns around FINRA is that they've been in the suitability world; we're saying that this is a fiduciary world."

Martin Kurtz, president of Financial Planning Association for 2011, will take pragmatic approach

Electee has concerns about FINRA's historical 'suitability' mindset

November 13, 2009 – 10:52 PM

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