Articles published 10/2011
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Schwab and T. Rowe Price finally strike a OneSource deal with help from an ex-Fido exec
Scott David has only just arrived at the Baltimore mutual fund giant from Fidelity in May and he's already pulled off a coup that was 20 years in the making
October 31, 2011 at 12:39 AM
Fidelity gives its execs a one-day crash course in RIA practice management
As a harbinger of a bigger initiative, the financial services giant called Mssrs. Skiles, Welling, Hurley and Rogers to a room in Boston
October 31, 2011 at 12:37 AM
Five scary investment scenarios (and the likelihood that they will occur)
The goblins still still lurk despite the massive October rally
October 31, 2011 at 12:25 AM
What is the value proposition of a financial advisor -- and how is a budding RIA culture upping the ante?
It goes to people's relationship with money
October 28, 2011 at 2:56 PM
John Valentine has a NFL and Chevron-heavy client list but his RIA's growth was modest -- until now
The San Ramon, Calif. firm is getting down to the nuts and bolts of expansion and switching to a fee-only model
October 28, 2011 at 2:52 AM
Ryan Shanks and Ned Van Riper eHarmonize big-fee broker recruiting
JoinAFirm.com is expected to give independent firms more play by offering more options and keeping it casual
October 27, 2011 at 3:47 AM
A crucial question for HNW clients: What is money for - and what should advisors do in response to the answer?
A Lindner Capital Advisors symposium recently answered some sticky questions with help from Meir Statman and others.
October 27, 2011 at 3:37 AM
Why exactly Dave Loeper and a Smith Barney/E.F Hutton legend are teaming up
Leonard Reinhart has ideas about how to market the Richmond, Va.-based firm's patented technology - and alleviate strain
October 26, 2011 at 4:55 AM
Startup firm bets its ETF research technology can cut out the middle man for advisors
First Bridge founder Aniket Ullal came from S&P and believes he can take on Lipper and Morningstar
October 26, 2011 at 4:46 AM
TD Ameritrade chief calls RIA growth a significant factor in 44% 4Q surge
Improved technology geared at recruiting more RIAs and offering a greater breadth of products to long-term investors were cited as growth engines
October 25, 2011 at 7:26 PM
Mike Durbin is putting his stamp on Fidelity as an RIA custodian for asset-flush breakaways
The leader is working to improve its customer services as the custodian pours big bucks into upgrading its tech offerings
October 25, 2011 at 2:11 PM
EISI strikes a deal to cash out its shareholders
The buyer, Zywave, is a force in the property-and-casualty world
October 25, 2011 at 2:42 AM
Fidelity lures a 'game-changing' West Coast practice-management star
Laura Kogen's eclectic skill-set, serious smarts and vivid personality make her a catch
October 24, 2011 at 5:16 AM
Are ultra-high-net-worth clients really worth it?
Yes, but excellence and profitability need to be weighed against these high-maintenance, resource-sucking and sometimes fickle people of means
October 24, 2011 at 5:11 AM
The head of a $12 billion RIA spars with UBS and LPL execs on the great fiduciary debate
Retirement-plan leaders grapple with different degrees of fiduciary and how best to address advisors and clients
October 21, 2011 at 2:18 PM
Casting a wider net for talent, HighTower poaches an MSSB branch manager
After three years of relentlessly recruiting brokers from Wall Street firms, the strategic buyer will go to wirehouses to top off its managerial talent
October 21, 2011 at 2:08 PM
Why an Apple, Oracle and Credit Suisse veteran started again as an RIA
In just two years, Lorraine Fox helped her firm grow to $300 million of AUM, with a boost from fellow Stanford alums
October 21, 2011 at 12:09 AM
The advisor-to-401(k) business could be set back by Democrats and Republicans
New measures could take away incentives to put money aside and make advisors shy away from the business
October 21, 2011 at 12:08 AM
Fidelity is shopping for new head of sales after Scott Dell’Orfano is tapped for semi-secret mission
Dell'Orfano and his team are developing product services and technology the better to lure major RIAs
October 19, 2011 at 3:10 PM
Commonwealth edges out LPL to nab the $1.2 billion retirement firm just down the road
Summit Financial wanted greater pension expertise
October 19, 2011 at 2:15 PM
Advisor newsletters: Compliance-wise, all news may not be fit to print
Even a photograph of a client may be viewed as a testimonial
October 19, 2011 at 3:11 AM
Dynasty Financial wins the account of Lori Van Dusen's new RIA through Focus Financial
The arrangement holds the possibility of a symbiotic advisor-vendor relationship between the wealth management platform and the big aggregator
October 18, 2011 at 2:15 PM
RIAs and B-Ds don't mix, says Duane Thompson at MarketCounsel Summit 2011
TD's Tom Bradley delivers a caffeine jolt of good news about the growth of the RIA channel
October 18, 2011 at 3:25 AM
What Messrs. Bruckenstein, Drucker and Veres cooked up in a Chicago airport hotel
The pilot effort to make a T3-like event with heavy admixtures of wealth management and practice management looked good
October 18, 2011 at 3:20 AM
Tamarac CEO: Mark Spangler's big trouble with the feds won't harm Tamarac
It's a PR issue for the Seattle software dynamo after the the former NAPFA chairman, former Tamarac chairman and RIA faces a heavy SEC scrutiny and FBI investigation
October 17, 2011 at 3:27 AM
The dark side of the 'good' regulatory changes get scrutinized at MarketCounsel Summit 2011
Advisors may get much of what they wish for but in reality it may not be so good
October 17, 2011 at 3:17 AM
What exactly is Fusion Advisor Network and who did it draw to Las Vegas last week
Its leader, Philip Palaveev brings advisors aspects of a a high-end consultancy, a roll-up and a yoga retreat
October 16, 2011 at 9:28 PM
LPL's biggest advisor rallies his proteges Nebraska style
Ron Carson brings his Peak members to his home base of Omaha and surprises them with a famous, and local, coach
October 14, 2011 at 4:41 PM
Brian Hamburger answers the questions about an SRO future that has RIA stomachs in turmoil
The MarketCounsel Summit undercurrent revolves around FINRA fears, so Dina Hampton put the compliance expert on the spot about how the scenario could unfold
October 14, 2011 at 5:01 AM
Competing studies from FA Insight and IN/Moss Adams agree on one thing: RIAs face a picked-over market of client prospects
Slow growth is getting slower, firms are adding an employee and costs of RIA help are skyrocketing
October 14, 2011 at 5:01 AM
10 things worth knowing from yesterday's Tiburon CEO Summit
Chip Roame sugarcoats nothing and it keeps 150-plus top execs on the edge of their seats
October 13, 2011 at 3:03 PM
At MarketCounsel Summit 2011, some hard-hitting speeches followed by 'Mohita Madness'
After hearing from industry heavyweights Mark Tibergien, Daniel Bernstein and MarketCounsel founder Brian Hamburger, it was time for a unique cocktail hour in a stunning setting
October 13, 2011 at 5:46 AM
Macro-economic analysis comes to the everyday RIA, and is welcomed post-2008
Still not the kind of power an RIA would need to run a hedge-fund like operation, say analysts
October 12, 2011 at 4:39 AM
MacroRisk Analytics makes Ph.D-grade economic insight almost RIA-friendly
Pricing, user experience and value look good, but still no integration with portfolio management systems
October 12, 2011 at 4:34 AM
Once good for a few million, TD Ameritrade's foot-in-the-door strategy is starting to net billions
With the paperwork signed, TD goes to work wooing big RIAs with technology, special pricing and a maverick culture
October 11, 2011 at 5:42 AM
Long a tech innard for Schwab, LPL and TD, Advisor Software is looking to push its own brand with new product
Its new software, goalgamiPro, is able to make sense of multiple housebold balance sheets and come out with a plan
October 11, 2011 at 4:53 AM
What's happening at RIABiz this week and why it matters
We've got our eye on TD Ameritrade's growth, do-it-yourself hedge fund analytics and two elite conferences starting Wednesday
October 10, 2011 at 4:08 AM
Eavesdropping on a Fitch Solutions event in San Francisco
Concern for the economy runs high but the news isn't all bad
October 7, 2011 at 11:48 PM
Big Chicago advisory firm exits Raymond James; forms its own RIA with Pershing
After a dozen years with the big broker-dealer, the group saw advantages to using NetX360 and working with Mark Tibergien
October 7, 2011 at 2:38 PM
Two Texans talk turkey about moving from an IBD model to an RIA model
Jeff McClure was able to bring Sean Kernan closer to his way of thinking by letting him in on his experiences
October 7, 2011 at 5:38 AM
RIAs use Twitter to reflect on the life and legacy of Steve Jobs
The innovator and entrepreneur compared to Edison
October 6, 2011 at 2:56 PM
One woman's journey from Whole Foods to Edelman Financial
What do butternut squash and finance have in common?
October 6, 2011 at 2:54 PM
Why many RIAs should start a mutual fund, considering the limitations of SMAs
A little daunting, sure, but advisors - especially ones geared to serving the mass affluent - will find the extra effort worth it
October 6, 2011 at 2:36 PM
How RIAs describe exactly what they do in a few choice words
A selection of responses we received from folks in the RIA business
October 5, 2011 at 5:41 AM
401(k) advisors get a lobbying voice in Washington
But in these tough times, advisors are better served by a focus on practical solutions, CFDD president counters
October 5, 2011 at 5:39 AM
What exactly is an RIA?
The letters stand for registered investment advisor but then it gets complicated
October 4, 2011 at 3:07 PM
Smelling blood on Wall Street, genteel family offices are using the 'S' word, study shows
A sales culture is being driven by competitve pressures and opportunities for fresh assets that are too tempting to pass up
October 4, 2011 at 3:07 PM
LPL Financial names a strategy czar
The big IBD puts Dan Arnold into the newly created position
October 4, 2011 at 1:42 PM
Brightscope to launch Yelp-like reviews, putting advisors under the consumer microscope
The iconoclastic Alfred brothers' latest innovation will give clients a voice - but experts and advisors fear compliance complications
October 3, 2011 at 4:38 AM
How Rob Francais combined two giant RIAs and then added the assets of Deloitte Investment Advisors
Kochis Fitz, Quintile Wealth Management and Deloitte are now $7.2 billion Aspiriant and there are more plans to grow -- carefully
