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Articles published 11/2010


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The Morgia Group breakaway to HighTower Advisors and Fidelity proceeded despite the big snow in Watertown, N.Y.

HighTower veteran helps Morgan Stanley Smith Barney team break away upstate New York style

A breakaway story from the perspective of the facilitator

November 30, 2010 – 4:35 AM

Michael Henkel: He is passionate about moving independent advisors into the retirement plan market, but says that for now, advisors lack the tools to succeed there.

Yesterday's proposed DOL regs underscore why default investments are the 401(k) market's giant untapped opportunity

Regulators' so-far soft approach on target date funds leaves door open for advisors to compete

November 30, 2010 – 4:35 AM

Les Abromovitz: Working on an elected official or candidate’s campaign may also fall within the definition of “contribution” found in the pay-to-play rule.

SEC's new pay-to-play rules call for you to investigate your employees' political giving

Surprisingly broad regs kick in next quarter, covering RIAs that do business with the government

November 30, 2010 – 4:12 AM

Ron Fiske: Bachelorhood is overrated.

(Updated) Ron Fiske comes aboard at Envestnet as company unveils its grander technology vision

The former high-level advisory exec at Fidelity will sit at the right hand of Bill Crager and court RIA custodians

November 29, 2010 – 5:49 AM

Dan Goldie [on left]:I knew I would get Gordon Murray [on right] hooked.

'Dying banker's last instructions' article in New York Times sends book sales soaring for two DFA advisors/authors

When Gordon Murray was given six months to live, he and Dan Goldie set to work

November 29, 2010 – 4:45 AM

Americans take the retail system for granted but it's supported by a complex infrastructure, one that has yet to be replicated in financial services.
November 26, 2010 – 4:37 AM

It's always darkest before it goes pitch black

What Target, Apple and Whole Foods tell us about Black Friday and our economy

Stores are opening in the wee hours and slashing prices but will it boost the economy?

November 26, 2010 – 4:36 AM


Marie Swift: There has never been a time in recent history when so many prospects are looking for a new advisor.

Eavesdropping on the MoneyShow: The great debate between MPT and technical analysis

Plus, three marketing ideas that actually work and the academic case for alternative assets

November 24, 2010 – 4:53 AM

Nick Georgis:  We do not support a SRO for the RIA industry. Schwab has had conversations with SEC staff to share this point of view.

Custodians defend their records in having RIA backs in battles for the fiduciary standard and against FINRA takeover

TD Ameritrade has publicly made some regulatory efforts for advisors and other say they mostly do it behind the scenes

November 23, 2010 – 5:39 AM

David Massey, NASAA president, is arguing that the SEC has the bandwidth to continue regulating advisors.

Is FINRA oversight a fait accompli? It's starting to feel that way.

IAA's Tittsworth says advisors still have the chance to play up small-business angle to submarine legislation

November 23, 2010 – 5:38 AM

David Selig: I felt like I had more meaningful conversations with industry luminaries and other well-connected people than at any event in recent memory.

Advisors in the airport shuttle make suggestions for taking the MarketCounsel Member Summit to the next level

RIABiz stumbles on a final moveable breakout session where unedited opinions flew fast and hard

November 23, 2010 – 5:24 AM

Bill Crager: Not having technology integrated is like leaving the windows open in New York in winter.
November 22, 2010 – 6:22 AM

Mark Tibergien: We will need an additional 9,000 advisors over the next five years just to keep up with the demand and growth.

Eavesdropping on the Moss Adams workshop: How big and broadly owned your firm should be

A study shows some myth-busting common denominators among successful firms

November 22, 2010 – 6:13 AM

Ron Rhoades: I have seen in my 25 years of practice ... a large number of individual Americans withdraw from the stock and bond markets after discovering the inadequacy of the conflict-ridden investment advice they received.

One-Man Think Tank: What would Adam Smith say about the fiduciary standard?

As the SEC ruminates, the invisible hand lurks and Rhoades finds support for a strong standard in unlikely places

November 22, 2010 – 5:55 AM

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