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RIABiz

Articles published 11/2011


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Brian Hamburger: If anything it's sending the message that the SEC is not putting a high price tag on the cost of maintaining an ongoing compliance program.
November 30, 2011 – 5:50 AM

Andrew Peddar: An overload of information and the speed at which it's delivered can lead to the inevitable paralysis by analysis for the investor.

Why technology is vital for RIAs looking to steady client nerves in stormy markets

A steady, clear and scalable flow of information can help keep investors bullish in a bear market

November 30, 2011 – 5:48 AM

Catie Tobin: RBC intends to double its RIA assets from $10 billion to $20 billion by 2015.

A peek inside the rising RIA custodians fighting to overtake the Big Four

RBC, LPL, TCoA, Scottrade and National Advisors Trust are all pushing to gain the critical mass to get past also-ran status

November 29, 2011 – 5:44 AM

Mike Golaszewski: I absolutely intend to stay connected to this industry.

After defecting from Schwab a year ago, Mike Golaszewski departs Pershing

The techie helped develop strategies and websites for both companies

November 28, 2011 – 5:27 AM

Frank Pizzichillo: Helping build the organization was what I loved. It wasn't managing sales people. I liked building things from scratch.

Fidelity veteran Frank Pizzichillo leaves MarketCounsel to join Genworth

In his new role, the Fidelity veteran will be back in advisors' offices advising them on how to grow their businesses

November 28, 2011 – 2:49 AM

Dennis Gibb:  I hate what happened with a passion that matches yours.

One RIA in Seattle confronts Occupy Wall Street and writes a tough-love letter

Dennis Gibbs wants young, desperate, unemployed people to know that he's been in their shoes -- or worse -- and prevailed

November 25, 2011 – 5:35 AM

Michael Chasnoff: We always say we are independent and we encourage Fidelity to continue to improve. This relationship can continue, but it's not a permanent relationship.

How one charmed referral set Michael Chasnoff on the path to $900 million of AUM

The power of PR and positive press proved to be the afterburners for Truepoint

November 23, 2011 – 4:02 PM

Michael Branham: I'm passionate about getting the younger generation entrenched into the profession.

FPA chooses president-elect with the seasoning of young advisors in mind

Michael Branham says firms should set up medical-residency-like programs for young planners

November 23, 2011 – 4:25 AM

Occupy Student Debt, a group seeking student loan reform, speaks out in Zuccotti Park as part of the OWS movemment.

RIABiz takes on Occupy Wall Street in New York and finds investors wanting answers

The big crowds have gone but a diverse and serious-minded subset of humanity is keeping the hard questions coming

November 22, 2011 – 5:49 AM

Mike Byrnes: Another way to grow more quickly is to bring on staff, even if it is at an hourly rate.

NAPFA conference yields valuable nuggets of practice-management and marketing advice

A strategic embrace of sales can build your practice dramatically, was the message NAPFA's practice-management conference held in Brooklyn

November 22, 2011 – 5:45 AM

David DeVoe: I have plans to scale this -- hopefully pretty aggressively.

David DeVoe, Schwab's RIA M&A chief, leaves to start his own shop

Nick Georgis is taking over the position as the former M&A czar launches ambitious venture

November 21, 2011 – 3:30 PM

Scott Slater says a study by his firm, Schwab, shows that 88% of advisors are looking at an internal succession plan.

3 notable RIA happenings in the past week

CFP Board says it's changing hearts and minds of affluent Americans, studies find more advisors making succession plans and RIAs find clients can't get over their allergy to risk

November 21, 2011 – 5:11 AM

Mike DiCenso: If there are no funds to be recovered from the fiduciary should something go wrong then there is no risk mitigation and protection.

Do 401(k) assets require all fiduciary care all the time?

Steve Winks and Mike DiCenso engage a in a back and forth with big ramifications

November 18, 2011 – 4:11 PM

Bryan Olson: These funds are there to protect on the downside and there will be a lower kick on the upside in a stronger equity market.

Windhaven misses its 12-month benchmarks again but still hits asset-gathering mark

More advisors are using Schwab's ETF manager but some of them dislike the company's tactical approach

November 18, 2011 – 5:28 AM

Britt Doyle: People with new money who are younger have an inherent distrust with big organizations.

West Coast breakaway drops UBS in favor of Sanctuary/Fortigent outsourcing

Two industry veterans strike out on their own after sudden-millionaires-to-be are cool to their Wall Street ties

November 17, 2011 – 6:09 AM

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