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Articles published 12/2009


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Expect to hear more in 2010 from Mike Durbin, who leads Fidelity's fast-growing RIA custody unit

Percolating: RIA custody roundup for 2010

New faces, new programs, new technology and new assets

December 31, 2009 – 4:23 AM

People like to prove the powers of their Blackberry over holidays

10 reasons why working during this holiday week is a good idea for RIAs

The quantity of conversations may drop but the quality rises

December 30, 2009 – 4:27 AM

Benjamin Valore-Caplan: It takes a lot of intellectual gymnastics to view a tax deduction for a charitable gift as a subsidy in the pejorative sense, but clearly there are some policy wonks who are quite flexible.

Advisors: Help protect precious nonprofits by avoiding these four mistakes

Why Warren Buffett is wrong about charitable giving

December 30, 2009 – 4:27 AM

Brian Davis: Start-up RIA firms tend to focus their efforts on client acquisition.

New RIAs gather assets more zealously than veterans

Established RIAs also more likely to report a decline in client base than newbies

December 28, 2009 – 4:44 AM

Marty Kurtz: If we make all the health decisions about money, it's pretty hollow

What RIAs need to know about health care reform

Ken Fisher offer his politically incorrect viewpoint as bill passes Senate

December 24, 2009 – 3:16 PM

Life in Maine: I am working next week and no news story of the first order will go uncovered.

We're winding down a bit over the holidays

Non-deadline projects will take precedence for 10 days

December 24, 2009 – 4:34 AM

Brooke Southall: I asked John, 50, why he didn’t hire a financial advisor and he said that the system was “crooked” and “corrupt.”

What I learned about E*TRADE, Bank of America, Google and the Bubble Lounge during pre-holiday conversations

Just because a wirehouse broker doesn't win the account doesn't mean that another advisor will

December 22, 2009 – 4:41 AM

Andrew J. Fotopulos: If areas of exposure are not specifically mentioned in the policy, coverage may not apply

Why you may not be adequately covered against lawsuits

A careful review of exposure to liabilities could save your practice

December 22, 2009 – 4:28 AM

Tom Bradley: The success of this program is the result of a powerful structure of goal-setting, follow-up and follow-through.

TD Ameritrade takes on Schwab with big consulting push

Smaller custodian will seek to democratize consulting advice on behalf of smaller advisors

December 21, 2009 – 4:14 AM

Rob Isbitts: It's best to be bullish on the ability for markets to recover from anything, but bearish on the philosophy of always staying fully invested in stocks

It’s a rent-and-hold market for stocks

Pressure to make big gains is much less if losses are minimized

December 21, 2009 – 3:06 AM

Brian Moynihan: We think of this not as changing the business model, but changing the way we do business

Merrill Lynch goes unmentioned as Bank of America settles on CEO choice

Krawcheck doesn't figure in, and press release neglects mention of big wirehouse

December 18, 2009 – 5:47 AM

Mary Schapiro: When investors receive similar services from similar financial service providers, they should be subject to the same standard of conduct

'Unthinkable' progress was made on creating a new regulatory world for advisors in 2009

Change is in the air but upcoming Senate elections complicate prospects for 2010

December 17, 2009 – 3:23 PM

Jim Pratt-Heaney:[Making acquisitions] would be very difficult [to do] on our own.

RIAs join Focus Financial with their own acquisition plans

Making purchases is much less scary with a big roll-up at your side

December 16, 2009 – 9:47 PM

SEC Commissioner Luis A. Aguilar: These rules are a "Madoff fix."

SEC details new "Madoff fix" custody rules

Advisor groups relieved: no surprise audits for RIAs with third-party custodians

December 16, 2009 – 9:43 PM

Andy Hyer: Blogs help promote an advisor’s business without being pushy.

Blogging: The costs and risks of hoarding your thoughts are rising

It's a new way for financial advisors to stay relevant with clients

December 16, 2009 – 4:10 AM

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