Articles Published 1/2011


HeadlinePublish date

Fewer companies join Protocol as downsides emerge

Recruitment not a one-way street; a longer list means poaching within the RIA world becomes more likely

January 31, 2011 — 3:45 PM UTC

Goodbye to Bob Margolis, true friend of independent advisors

A regular contributor to RIABiz, Bob died in New York City earlier this month

January 31, 2011 — 3:07 PM UTC

The RIABiz list of winners and losers in the wake of the SEC's fiduciary study

The race is on as laggards adapt to new vision of the future

January 28, 2011 — 1:17 PM UTC

Brian Stimpfl resurfaces in an entrepreneurial mode

The TD Ameritrade fixture teams up with Spenser Segal at Actifi; he took a few yoga classes

January 28, 2011 — 1:17 PM UTC

Big advisors drive solid year for breakaway wins at Schwab, Fidelity, Pershing and TD

Aggregators drive momentum in 2011

January 27, 2011 — 2:54 PM UTC

Sallie Krawcheck, A Recruiter’s Nightmare

Criticized and often at the center of a business storm, she has emerged as Wall Street's problem-solver -- and she's doing it again at Merrill Lynch

January 27, 2011 — 2:52 PM UTC

HighTower makes an executive out of a partner to fine-tune advisor access to investments

Former UBS advisor will simplify the bewildering investment-related choices afforded by open architecture

January 26, 2011 — 3:57 PM UTC

Winter winds hitting bond investors, China takes a pass, alternatives posted strong gains: Morningstar data

But fund categories that bond investors tend to favor when 'reaching for yield' were up nicely in December

January 26, 2011 — 3:56 PM UTC

Investing in the Digital Age: Why real-time data is a must-have for RIAs and long-term investors

The investment industry has created a classist system of haves and have-nots when it comes to information

January 26, 2011 — 3:18 PM UTC

Dynasty Financial Partners ends legal squabble with Bank of America, clearing deck for growth

The high-profile startup may have passed up chance to win its case, an attorney says

January 25, 2011 — 3:18 PM UTC

In a triple merger, fast-growing Florida RIA scoops up an LPL advisor and a fellow asset manager to double firm size

More deals involving IBD advisors on the horizon as shift to fees makes combinations possible

January 25, 2011 — 3:16 PM UTC

How a big Atlanta RIA kept sledding with technology after snow paralyzed the city

Where snow shovels left off, laptops, iPads, iPhones, NetX360 and some forethought took over

January 25, 2011 — 2:40 PM UTC

IBD reps are new wave of breakaways to the RIA channel, say some recruiters and custodians

Schwab has a 45% jump in IBD teams in 2010; others see a similar trend

January 24, 2011 — 3:22 PM UTC

(Updated) Groundbreaking SEC study would smash old regulatory system, creating fiduciary brokers and more regulated advisors

Controversy and conflict emerge as SIFMA, Schwab and others begin to react

January 24, 2011 — 3:16 PM UTC

One-Man Think Tank: SEC courage likely to be tested in coming months

Study on fiduciary standard may be the most significant advance for investor protection in a half-century, but real progress will be made rule by rule

January 24, 2011 — 2:54 PM UTC

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