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Articles published 9/2009


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David Hou: His dad says he worries alot.   Mark Sear: "I was sweating."

(Part 3 of 3-part series) Hou-Sear team makes house calls in five states

Clients embrace idea of new RIA with quick signings

September 30, 2009 – 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 – 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 – 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 – 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 – 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 – 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 – 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 – 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 – 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 – 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 – 4:43 PM

Jim McCool: Trish Cox and Bernie Clark have authority
September 21, 2009 – 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 – 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 – 5:35 PM

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

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