News, Vision & Voice for the Advisory Community


Articles published 9/2009


Publish date

David Hou: His dad says he worries alot.   Mark Sear: "I was sweating."
September 30, 2009 at 5:19 AM

Michael Kavanagh: We now have critical mass

RBC's appearance on custody scene could be a 'game changer'

Canadian bank's combo with JPMorgan unit creates new choice for breakaways

September 30, 2009 at 5:06 AM

Sean Cook: We said: Are you going to be here?

In major reversal, Merrill turns away RIA assets

Is it post-BoA merger streamlining or a decisive strategic shift?

September 29, 2009 at 4:23 AM

David Hou and Mark Sear: Our biggest fear was that Merrill Lynch would find out and fire us, Sear says.

(Part 2 of 3-part series) Hou-Sear team can't always beat RIAs so it joins them

Why Hou-Sear turned down $60 million to start Luminous

September 28, 2009 at 5:57 AM

Stacey Schreft: Developed algorithm and back testing in attempt to best annuity methods

Big RIA cuts annuity companies out of the deal with new retiree program

Adam Bold creates cash flow system designed to avoid distress sales in bad times

September 25, 2009 at 10:43 PM

Matt Brinker: It's a good time to be opportunistic

VC firm bets millions on wealth managers amid market fears

United Capital will use funds to quickly double in size

September 25, 2009 at 6:27 PM

Knut Rostad: Both sides have a briefcase full of examples of times where they have been unfairly maligned and misunderstood

The Fiduciary Debate: Getting past the vested interests

Industry experts draw battle lines in defining fiduciary

September 25, 2009 at 5:28 AM

David Hou and Mark Sear started together at Goldman Sachs and maintained that 24/7 culture in their partnership

(Part 1 of 3-part series) Merrill Lynch stars take a leap of faith to a new office -- and independence.

Breakaway for $20 million producers begins with cell phone chat from empty office

September 24, 2009 at 5:03 AM

Paul Lally: "If you educate me, please don't leave me at the altar."

Fidelity races to develop M&A program ahead of looming merger boom

Boston custodian seeks to manage a flood of client requests

September 23, 2009 at 5:16 AM

Andrew Doman: Moving to Seattle is an important milestone in Russell's extraordinary history

Russell Investments to leave Tacoma

Northwestern gem goes to Seattle

September 22, 2009 at 5:56 PM

An outright ban on non-business use of social media may present its own legal problems.

10 top ways to use social media without courting regulatory trouble

Make social media part of your compliance plan

September 22, 2009 at 4:43 PM

Jim McCool: Trish Cox and Bernie Clark have authority
September 21, 2009 at 7:38 AM

No vestige of the old brand name here

RIP Wachovia Securities brand name

Wells Fargo Advisors leaps to number three spot day one

September 19, 2009 at 10:19 PM

Mark Sear [left in dark blue shirt] and David Hou[right in dark blue shirt] : It took a year to get these smiles

Coming Soon: Multi-Part Series on the Hou-Sear departure from Merrill Lynch

Intensity of breakaway was unprecedented, lawyers and custody execs say

September 18, 2009 at 5:35 PM

Bernie Clark: Team liftouts have contagious effect
September 17, 2009 at 4:33 AM

Liz Ann Sonders: Surprised at the anger of her critics about her views

Bernanke antes up recession's end and Sonders raises him a solid recovery

Schwab chief strategist sticks to guns in face of gloomy critics

September 16, 2009 at 5:54 AM

Janelle Sallenave: Clients will gladly pay for extra services

Schwab family office head preps RIAs for landing big fish

Crash course on pricing strategy is a good start

September 15, 2009 at 6:45 AM

Jim McCool: This isn't about me

Schwab deploys $1 billion annually on behalf of RIAs

McCool offers few specifics and emphasizes silver lining for RIAs

September 15, 2009 at 5:35 AM

Mohamed El-Erian: We are not at escape velocity from this crisis

BlackRock CEO rates U.S. economy closer to brink than PIMCO CEO

Fink and El-Erian both decline to sound the all-clear

September 14, 2009 at 6:02 AM

Schwab IMPACT: Advisors come for its punch

The 10 top things to know on the eve of Schwab IMPACT 2009

A fragmented industry gets under one tent

September 12, 2009 at 5:11 PM

Matt McGinness: Everyone is working harder for less

Industry consultants grow practices by taking on deadline projects

Industry stars like Inveen, Roame, McGinness and Welsh are increasing revenues by shifting gears

September 11, 2009 at 4:04 AM

Sean Cook: Fidelity's cuts are a validating symbol of the company's willingness to take alternative investments

One notable Fidelity price cut may enliven conversation, advisors say

Cut of alternative investment custody fees is symbolic to key Schwab advisors

September 10, 2009 at 2:32 PM

Fidelity cuts come two months after Schwab's and go further

Fidelity's Durbin debuts with strategic price cuts

Head of RIA unit wants to eliminate obstacles to winning business

September 10, 2009 at 2:19 PM

Don Peters: Krugman and Meltzer do have at least one thing in common. Both advocate government intervention in the business cycle through fiscal and monetary policy.

Allan Meltzer calls 'Depression' talk 'misleading' but are his views reliable?

Meltzer rival Krugman did better job of predicting current downturn

September 9, 2009 at 4:53 AM

There are empty seats to fill at fall advisor conferences

Down economy subdues advisor attendance at fall conferences, FPA says

Schwab and IMCA events could avoid drops from last year

September 8, 2009 at 5:01 AM

Les Abromovitz: Younger advisors may not be in a position to change the firm's culture as it relates to marketing and advertising

High costs, low value explain meager social media use by financial advisors, experts say

New study shows that financial advisors mostly delete Twitter from practices

September 4, 2009 at 7:57 PM

Doug Talir: Ameritrade went upscale

Scottrade rakes in small RIAs

Discount retailer turns its sights on advisors

September 4, 2009 at 5:09 AM

Barron's editor: Study methodology kept opaque to public for competitive reasons

Barron's offers insight but declines interview about Top 100 study

Dow Jones editor clears up some issues by e-mail

September 3, 2009 at 5:22 AM

Fidelity Investments continues to see high-level executive changes
September 2, 2009 at 5:28 AM

Nevin Freeman: Advisors can find quarterly balances for billing purposes

Schwab's big effort yields big improvements

Schwab debuts bubbles and liquid in website overhaul

September 1, 2009 at 7:18 AM

Say good-by to this website

Schwab technology undergoes metamorphosis

Beta tester still has wish list for Schwab upgrades

September 1, 2009 at 7:05 AM

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