Articles Published 7/2010


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Joining the industry-wide trend, TD Ameritrade announces its upcoming project for "open architecture" technology integration

Custodian hopes to open the platform to all vendors that pass a security check

July 30, 2010 — 6:30 AM UTC

In a move that risks a backlash from within, Ameriprise opens the door wide for bigger wirehouse brokers

Training advisors has become more expensive, says analyst -- so the company has a new strategy to recruit experience advisors

July 30, 2010 — 2:46 AM UTC

A decade of baby steps led a broker from Merrill Lynch to a three-office hybrid of his own

Potomac Investments now uses broker JHS, where an ethics policy carried the day

July 29, 2010 — 3:49 AM UTC

Fidelity weighs in with breakaway results reinforcing the big-advisor trend

Are cost-cutting wirehouses creating a farm system for top entrepreneurial teams?

July 29, 2010 — 3:47 AM UTC

[Updated] 10 reasons why the Envestnet IPO filing is for real

The platform giant has a monopolistic position and the opportunity to pull away

July 29, 2010 — 2:22 AM UTC

Bob Veres' vision: Scalable, multi-partner RIA firms will be profitable and powerful enough to beat the wirehouses

Microbusinesses dominate the industry -- for now. That may change as the industry evolves along the lines of the legal profession.

July 28, 2010 — 3:17 AM UTC

Daniel Barry takes on two big challenges: fighting for financial advisors and filling the size 15E shoes of Duane Thompson

Barry says he'll fight hard for financial planners and RIAs, but half of FPA's members hold a Series 7

July 28, 2010 — 3:12 AM UTC

One-Man Think Tank: The SEC's custody examinations leave gaps big enough for Madoff to drive a bus through

How to reassure clients who are seeing Ponzi after Ponzi unveiled

July 27, 2010 — 1:57 AM UTC

Smith Barney broker leaves wirehouse realm after 38 years

Recruiter: an increasing number of older advisors are leaving wirehouses to be sure their books of business go to someone they trust

July 27, 2010 — 1:52 AM UTC

How financial reform gives the SEC new bite; plus at least five other things advisors ought to know about the legislation

The new financial world will be constructed mostly out of the public eye, as regulators begin studying 150 issues Congress punted to agencies

July 26, 2010 — 3:36 AM UTC

M&A market for RIAs continues record pace: Second half looks even stronger

As compliance burdens grow, smaller firms are driving merger activity

July 26, 2010 — 3:33 AM UTC

HighTower wins its first-ever existing RIA after offering the breakaway a new way to do business -- and a chat with David Pottruck

Three Bridge Wealth Advisors surpised itself by giving up its 'sweet' freedom to regain the advantages of scale

July 23, 2010 — 3:54 AM UTC

The next step in the IRS pursuit of high-net-worth individuals

The DOJ steps up the hunt for offshore accounts. Here's what not to try: spiriting the cash out in a suitcase.

July 23, 2010 — 3:53 AM UTC

Both Schwab and TD Ameritrade smash breakaway recruiting marks from last year

Schwab nets eight breakaway teams with more than $250 million of AUM each

July 22, 2010 — 3:57 AM UTC

How the new 12b(1) fee restrictions could transform the financial advisory industry

Brokers selling 401(k) plans may have another nail driven into their coffin

July 22, 2010 — 3:56 AM UTC

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