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Articles published 3/2010


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Tamar Frankel says the Supreme Court Decision on mutual funds fees surprised and delighted her because of the pressure it puts on mutual fund boards of directors

Mutual fund industry may be too quick in declaring victory on the Supreme Court Decision

The standard is upheld but the people-with-muscle caveat is a true victory for investors, according to Tamar Frankel

March 31, 2010 – 6:24 AM

Lon Morton: Most potential clients do not fully appreciate the differences between dealing with an advisor from a Merrill Lynch or other wirehouse versus a fee-only advisor -- RIA.

Advisor Spotlight: Lon Morton went from being a minor league baseball player to a major league RIA

Morton Capital Management gets referrals from both Schwab and a local bank that acquired it

March 31, 2010 – 6:23 AM

Mike Durbin: Fidelity's investment management heritage and capital markets resources are unique qualities among custodians

Fidelity plows ahead in the RIA business with overhauls of service, technology and management

Stagnant for more than a decade, the Boston-based RIA custodian has become a cauldron of dynamic change in last few years

March 30, 2010 – 6:05 AM

David Brochu: I am paying the price for asking questions.

[Updated] David Brochu finds his lawsuit against Focus Financial is a rough experience

The Rhode Island RIA keeps up the legal battle to clarify the size of his firm's equity stake

March 30, 2010 – 5:58 AM

Broker Protocol: Any firm can join the protocol by contacting New York law firm Wachtell, Lipton, Rosen & Katz.

Newest additions to Broker Protocol

In four-day span in early March, seven companies joined

March 30, 2010 – 5:54 AM

Dan Kurt: Advertisements are counterproductive for what we are trying to do

RIA Central has launched its bid to be the Facebook of RIAs

Heather takes a close look at how Fugent has pieced together a pioneering effort

March 29, 2010 – 6:37 AM

Suzanne Siracuse: It diversifies us.

InvestmentNews shows it means business in the consulting business

The news giant snags a Schwab employee and looks to expand its mission

March 29, 2010 – 5:37 AM

Bob Adams: Advisors can rest assured that we will meet the needs they have. We're acting in their best interests.

Fidelity delivers a white paper and a warning to RIAs regarding new cost-basis rules

Multi-custody arrangements and third party platforms can lead to troublesome data fragmentation, the Boston custody giant says

March 26, 2010 – 5:54 AM

Ian MacKenzie: [IMCA] has been well-known within the wirehouse community for 25 years, and my goal is to use my experience and expertise to elevate that recognition among independent advisors serving a high-net-worth client base.

IMCA fills out roster by nabbing yet another FPA talent

One Denver advisory association looks to the other for hires but the two organizations profess peace

March 26, 2010 – 5:53 AM

Ric Edelman: The wirehouses have done themselves a lot of damage this year.

Encouraged by early success in New York, Edelman ramps up office openings

Big Virginia RIA sees an opportunity in wirehouse fumbling and he's grabbing it

March 25, 2010 – 5:27 AM

Heather Underwood goes deep into the made-for-RIA features of BrightScope's website

How BrightScope is using technology to create order in a messy 401(k) market

A San Diego-based company gives a peek behind the curtain of many of the 60,000 largest defined contribution plans

March 25, 2010 – 5:27 AM

Rebecca Pomering: I would not say we have outsourced. We are using them as an additional source.

Why Moss Adams signed a big contract with Fortigent

The Seattle-based RIA is looking to grow investment capabilities without adding staff

March 24, 2010 – 5:15 AM

Carol Fabbri: We tell clients if the want to chase the next big thing, they should take 10% of their money and go to Vegas.

Breakaway spotlight: Former Merrill Lynch broker uses just-the-facts approach to win business of scientists, engineers

Two MIT grads do the math for clients, including numbers that show 401(k)s lacking

March 24, 2010 – 5:10 AM

Custodians are aggressively hiring good talent to keep up with RIA demand. Schwab's hire of Nick Georgis was a good example of that.

Part II: The things 11 through 20 that show the RIA market is really heating up in 2010

Everything from New York Times recognition to accelerating executive hires suggest the RIA realm is getting hot

March 23, 2010 – 5:46 AM

Barack Obama is painting Republicans and Wall Street executives as allies.

A newly emboldened Obama may yet win on financial services reform

Why some Washingtonians are wrong about the bill's prospects

March 23, 2010 – 3:53 AM

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