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Articles published 1/2011


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The number of companies joining the Broker Protocol dropped by nearly a third in 2010 compared with 2009.

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

Bob Margolis

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

Brian Hamburger: The SEC is lining up the facts so that later the conclusion becomes obvious (it can’t regulate advisors with current resources). ... It’s genius, what they’re looking to do, but it’s incredibly transparent.

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

Brian Stimpfl: There's an attraction and a curiosity to a different way of doing business.

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

Scott Dell'Orfano: The average is well up from what we saw at this time last year
January 27, 2011 – 2:54 PM

Fred St Laurent says that when Krawcheck is in charge, his job gets harder.

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

Matthias Paul Kuhlmey: We’re in the beautiful position to buy best of class (products and services) nevertheless you need an in-house function to hold it together.

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

Rob Isbitts: Convertibles, Long-Short, High Yield Bond had strong gains relative to risk.

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

Andy Rachleff: Getting a minute-by-minute view into what your money managers are doing doesn’t necessarily mean you aren’t a long-term investor.

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

Shirl Penney: We are very satisfied with the terms of the agreement.

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

Sharon Daniels: With the various branches at Banyan, this will give us immediate opportunities to meet personally with more of our clients.

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

Joe Stallings: Many offices around the metro area struggled to continue with business as usual.

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

Chuck Bean: When I was a little fish, I relied heavily on the broker-dealer.

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

Bill Crager of Envestnet: "There was a lot of momentum toward the fiduciary standard. Now the implications find their way throughout the industry."
January 24, 2011 – 3:16 PM

Ron Rhoades: The SEC will require the support of many professional groups and consumer groups, as well as that of the media and general public, to overcome the ferocious attacks which are certain to follow.

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

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