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Articles published 1/2010


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Frank Maiorano faces the challenge of taking skyrocketing growth to a higher level

Frank Maiorano takes the helm at Trust Company of America

Veteran of Schwab and Nuveen will raise visibility of low-profile RIA custodian

January 29, 2010 – 11:52 PM

Terry Reitan called Trust Company of America a well-kept secret when he came aboard four years ago.

CEO Terry Reitan retires from Trust Company of America

Former Fiserv ISS chief presided over four years of stunning growth

January 29, 2010 – 11:51 PM

Patrick J. Burns: I'm not sure the SEC or FINRA has the stomach for a return to the days of heavy litigation.

Broker Protocol may be endangered by complexities as membership starts to explode

Merrill Lynch, LPL and Ameriprise create addendums to once-sacred truce; they may spark an unfavorable trend

January 29, 2010 – 4:59 AM

Ron Rhoades: Increasing attention is now being given to FINRA’s failures as a regulator

7 reasons why wirehouses shouldn't milk the old business model

Once the chief protector, FINRA and its lapses may contribute to brokers' darkening picture

January 28, 2010 – 4:34 AM

Charles Goldman still embodies a service ethic for many advisors

Advisors can tolerate Goldman departure from Fidelity if service doesn't suffer

Fidelity says to expect no change in service approach because of executive changes

January 28, 2010 – 4:25 AM

Mike Durbin: "I think Fidelity has done the best job of speaking the language of the breakaway."

Focus shifts to Durbin at Fidelity as Goldman prepares to depart

With Goldman leaving, president of Fidelity Institutional will demonstrate his own brand of leadership

January 27, 2010 – 6:23 AM

Charles Goldman aggressively tackled Fidelity's approach to service but he may also have ruffled feathers

Charles Goldman to leave Fidelity

Overseer of Fidelity's RIA custody, broker clearing and family office units sets a departure date

January 26, 2010 – 11:21 PM

Barnaby Grist says that wirehouse data on attrition is accurate but not telling for breakaways

Schwab and TD Ameritrade pipelines brim with breakaway prospects

Growth rate accelerates despite slowing attrition at wirehouses

January 26, 2010 – 6:25 AM

Ben Valore-Caplan: The human desire for order and predictability may mask the reality of disorder and unpredictability in the financial markets

Waiting for the S&P 500 to revert to the mean is like Waiting for Godot

Even returns over 20-year spans bear little resemblance to each other

January 26, 2010 – 6:24 AM

Derek Bruton is now in charge of LPL's hybrid business after years of RIA experience with Merrill Lynch, TD Ameritrade and Schwab

LPL's hybrid RIA platform is fast off the mark and names new leaders for 2010

The giant IBD has already surpassed Raymond James' RIA assets but Derek Bruton plans to build on momentum

January 25, 2010 – 7:05 AM

David Welling: I was a plant needing to be re-potted.

Former Schwab RIA veteran lands with Black Diamond

Welling looks to bring his big-company experience to fast-growing software firm

January 25, 2010 – 6:42 AM

During Steve Cassaday’s first year of independence, he watched his life savings dwindle. “I was crushed like an eggshell,” he says.

A breakaway story, old-school style

Cassaday's wirehouse departure began as a tailspin but 17 years later he's an RIA and top producer with Royal Alliance

January 22, 2010 – 5:52 AM

Howard Diamond [with wife Mindy's hand on shoulder]: Ms. Krawcheck should not exhale so quickly

What comments by Krawcheck and Gorman about improving wirehouse attrition leave out

Breakaway trend appears as vital as ever and asset flows are in reverse

January 22, 2010 – 1:00 AM

Rodger Lawson let his spending do the talking when it came to RIAs

Rodger Lawson was a silent champion of RIAs at Fidelity and now he's going: What's next?

FMR's president gave nearly carte blanche spending to the RIA initiative at Fidelity

January 21, 2010 – 5:29 AM

What's to come in the RIABIz Directory? Job listings and other premium enhancements.

Directory Week One: The launch, the tweaks and what directory listers say about its future

Why our free listings are a great deal and paid listings can be even better

January 21, 2010 – 5:22 AM

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