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RIABiz

Articles published 12/2010


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Paul Reilly: This acquisition reflects Raymond James’ growth strategy as we expand our already significant capital markets reach while adding to our strong private client presence in some key markets.

Raymond James adds 20 advisors, and their $1.9B of assets, as part of investment banking purchase

The Florida broker-dealer sees promise bringing Howe Barnes Hoefer & Arnett clients onto its wealth management platform

December 30, 2010 – 3:36 PM

Elizabeth MacBride: Sometimes, we even get to hear the end of the story: an idea that has leaped from the online world to spur action.

Ideas born in the advisory world that flew far in 2010

How one conversation influenced NYC economic policy

December 30, 2010 – 3:36 PM

Mark Hurley touched a nerve in 2010 by questioning the enterprise value of RIA practices.

The next 20 top stories and what they say about where the RIA business is headed

Big companies, big innovators, exclusive conferences and the 401(k) market riveted advisor attention

December 29, 2010 – 2:45 PM

Dan Goldie (on left): This is why we did all the work. (Gordon Murray is seated on the right.)

Two DFA advisors win big book contract after 'Dying banker' article in NYTimes

Success continues to come, rapid-fire, and Dan Goldie gets help in his practice

December 28, 2010 – 2:20 PM

RIAs happily got to the nuts and bolts issues of building their practices and a better industry in 2010

The top 20 RIABiz articles in 2010 and why they were so important to readers

Schwab, Fidelity, DFA, LPL, Envestnet and the 401(k) market dominated the headlines this year

December 27, 2010 – 2:22 PM

My RIABiz office for the holiday season is right in this Portland, Maine district where retail sales are rebounding

RIABiz wishes you a relaxing holiday to rest up for an exciting New Year

It's slushy weather now but skies are expected to clear

December 24, 2010 – 3:23 AM

Frederick Van Den Abbeel: We did benefit from Fidelity’s decision and it also introduced us to other Fidelity RIA firms which were not affected -- through referrals.

The emerging asset custodians rake in small RIAs

Demand comes from IBD reps, start-ups, breakaways and refugees from the big three custodians -- including a few advisors seeking to avoid a new Fidelity fee

December 23, 2010 – 3:03 PM

Ron Rhoades' crystal ball extends to 2025 when Americans finally say 'uncle' to another 15 years of having brokers' interests go first.

Why a swing-and-miss on fiduciary standards will haunt us for decades

An ounce of good sense now could save the U.S. economy a pound of unnecessary pain downstream

December 23, 2010 – 2:53 PM

Les Abromovitz: Recently, one RIA firm that I work with claimed to have created hundreds of unique solutions. Those kinds of claims invite a securities examiner to ask for proof that the firm’s solutions are truly out of the ordinary.

The marketing naughty and nice list

Catchwords and strategies likely to draw regulators' ire -- and others that pass anyone's test

December 23, 2010 – 2:51 PM

Vivian Groman: Financial advisors are in a unique position to help clients through a divorce. The holidays offer an opportunity to show your clients that you care...

Why relying too heavily on a divorce attorney can be a bad financial planning move by clients

Counsel your clients to develop a full network of professionals whose advice they can tap as needed.

December 22, 2010 – 2:45 PM

Skip Schweiss: RIAs are at full throttle, increasing spending on staffing, professional development and technology enhancements.

The RIA consensus heading into 2011: hire more and invest in more infrastructure

TD Ameritrade survey shows advisors have big concerns over regulatory changes

December 21, 2010 – 2:22 PM

Ron Rhoades crafted this response to two advisors' question about turning RIA
December 21, 2010 – 2:21 PM

Charles Goldman: I’m still hungry to do more stuff.

Charles Goldman is seeking his game after tumult and a year of decompression

The former head of Schwab's and Fidelity's RIA units may land in an entrepreneurial venture

December 20, 2010 – 2:23 PM

Melanie Senter Lubin: Advisors should get their ADV form ready to filed by March 31 and also make sure they know which states they’re going to need to file with.

Wondering whether to register with the states or the SEC? It's a moving target.

New York advisors still left to wonder who has power over them

December 20, 2010 – 2:22 PM

Bernie Clark: An advisor coming to Schwab with alternative assets to custody needs to be able to provide some transparency.

Schwab leads effort to create industrywide solution for alternative assets

The San Francisco custodial giant is now working to recruit other members to DTCC innovation

December 17, 2010 – 2:02 PM

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