News, Vision & Voice for the Advisory Community


Articles published 2/2010


Publish date

Les Abromovitz: When the SEC takes a stand on social media, it is likely to reach many of the same conclusions

FINRA guidance may help RIAs avoid social media blunders

Even employees' LinkedIn profiles ought to be supervised

February 26, 2010 – 7:49 AM

Joe Duran: Nobody thinks of Cisco as an acquiring company because they have one culture [and by following that example] that's how we end up with an arbitrage

The faces of United Capital on an idyllic spring day on the Berkeley campus

Photographs of United Capital partners and executives at the Haas School of Business event

February 26, 2010 – 7:04 AM

Elisse Walter: We’ve been making it too hard on ourselves.

SEC's Walter looks for an easier way out on fiduciary question

Johnson amendment gains primacy as jockeying continues on the Hill

February 25, 2010 – 10:56 PM

Joseph Vietri: Check-up calls on wire transfers will continue indefinitely and more safeguarding steps will be added to the program

Schwab won't stop at wire transfer check-up calls in its quest for airtight security of RIA client assets

Top service exec at big custodian says the tumult of the last 18 months led to the escalation of asset safeguards

February 25, 2010 – 5:36 AM

Joe Duran: Our goal is to [help make] our partner firms into the dominant market leaders in their respective cities and to help build several $5 to $10 million offices in the next few years.

United Capital calls its partner firms to Berkeley to help execute ambitious plan

Haas business school professors will orient consolidator's RIAs toward new ways of looking at growth

February 25, 2010 – 5:36 AM

Jay Quinn will help Barnaby Grist to make Cetera's broker-dealers better for hybrid RIAs

Jay Quinn joins Cetera subsidiary to help Barnaby Grist pave way for more hybrid RIAs

Two ex-Schwab executives unite in Los Angeles to upgrade old ING platform

February 24, 2010 – 7:34 AM

Steve Walkenbach is heading Scottrade's RIA custody unit but the company is seeking a replacement for Doug Talir

Scottrade is ramping up marketing -- with an interim leader at the helm

The St. Louis-based discount broker has big momentum and a big position to fill

February 24, 2010 – 7:33 AM

Robert Eisenbeis says the too-big-to-fail legislation is likely to be complex and arcane. "This is the sausage," he says.

A different take on too-big-to-fail

Shadow Committee posits that bankruptcy law may be better after all

February 23, 2010 – 11:29 PM

Roger Hartley and Keith Mitchell: We are fairly eclectic in terms of the types of businesses we think we can be helpful with.

New M&A firm with Putnam Lovell alumni appears on the wealth management landscape

Mitchell Hartley straddles world of asset management and wealth management

February 23, 2010 – 6:19 AM

Don Trone: Plan sponsors want advisors who can lead the way.

7 things a financial advisor needs to know to succeed in the 401(k) business

Needy plan sponsors are green pastures for those with the right tools

February 23, 2010 – 6:17 AM

George Tamer let it be known that technology without a dedicated effort by the financial advisor won't yield great results

The T3 conference hit its stride Friday with key speeches and a hum of activity

An IBM big wig cleared up some issues surrounding 'cloud' computing

February 22, 2010 – 3:42 PM

Steve Bartlett: If we can move the needle and get our hundred companies into the automatic transfer [system], it will change the economy of this country in a profound way in a few short years.

Giant push is on in Washington to create a nation of savers

Banks are taking the lead but companies like Fidelity Investments, Raymond James, and Edward Jones plan to jump aboard

February 22, 2010 – 6:18 AM

Elaine Lennox of IBM was the main event

Faces of the T3 conference in San Diego

Top IBM-er lets crowd know that cloud computing is a nebulous subject

February 20, 2010 – 8:13 AM

Matt Abar is talking up his vision of the future at the T3 conference

T3 conference sizzles under the hot San Diego sun

RIA event is all about making expensive business decisions

February 19, 2010 – 7:09 AM

A peek at our admin system

How we have leveraged Google services to jumpstart RIABiz

Thinking of building a website? We might advise a closer look at the search giant

February 19, 2010 – 7:09 AM

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