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Articles published 10/2011


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Scott David: We said: how can we make this happen?

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 – 12:39 AM

David Canter is bringing an open architecture approach to assimilating intellectual capital at Fidelity.

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 – 12:37 AM

Ron Isbitts: October’s rally was nice, but, as they say, dead cats do bounce.

Five scary investment scenarios (and the likelihood that they will occur)

The goblins still still lurk despite the massive October rally

October 31, 2011 – 12:25 AM

Brooke Southall: The RIA's ultimate value proposition is your belief that it is your destiny as one to help clients realize theirs.
October 28, 2011 – 2:56 PM

John Valentine: Our referral base has grown from about 400 people to 3,000 in the last 24 months.

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 – 2:52 AM

Ryans Shanks: What’s stopped you in the past is that internal mechanism that tells you not to run your own business. Now, you can see all of the firms.

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 – 3:47 AM

Ali Swofford: It seems that men and women are both from Venus.

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 – 3:37 AM

 Leonard Reinhart: What really intrigues me about what he's doing is he's bringing Wall Street back to Main Street.

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 – 4:55 AM

Aniket Ullal says ETFs don't fit well into classification systems that were originally built for mutual funds.

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 – 4:46 AM

Fred Tomczyk: My main message to [TD Ameritrade Institutional president] Tom Bradley is: keep it up.

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 – 7:26 PM

Mike Durbin: We want to have the largest clients with the most assets. We're going after the largest teams and getting them.

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 – 2:11 PM

Mark Evans: Zywave's proven track record as a highly regarded innovator and commitment to advancing next-generation financial planning technology for advisors and their clients make it the ideal partner.

EISI strikes a deal to cash out its shareholders

The buyer, Zywave, is a force in the property-and-casualty world

October 25, 2011 – 2:42 AM

Laura Kogen: It's hard to pin me down.

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 – 5:16 AM

Mark Tibergien: If one UHNW client leaves, the sudden loss of revenue can imperil the stability of a firm.

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 – 5:11 AM

Randy Long: I'll be calling all of their clients.

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 – 2:18 PM

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