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RIABiz

Articles published 2/2011


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Dale Walters: Canadians are leery of U.S. financial institutions.

How a custody relationship with RBC may net an advisor $100 million on day one

The Canadian bank was the missing ingredient for one Keats Connelly client; Cardinal Point's Jeff Sheldon signed on with TD Ameritrade for similar reasons

February 28, 2011 – 3:33 PM

Nevin Freeman: The next decade in advisor tech will see radical new user interfaces that will make typing in a client's address seem like an arcane waste of time.

T3 reflections: Where to watch for the next big advances in RIA technology

Vendors are turning their attention to the part of the software that you see

February 28, 2011 – 3:30 PM

Harald Malmgren: Even 9 months after the flash crash, experts still could not explain exactly what had happened on that particular day.

Flash crash update: Why the multi-asset meltdown is a real possibility

The report is out, but doesn't capture the risks of high-frequency trading's spread

February 28, 2011 – 2:58 PM

Jim Roth says that the economic of the IBD business have shifted to make a hybrid model a necessity for IBDs.

Pershing warns IBDs to embrace hybrid business model or risk being marginalized

Schwab gives hybrid advisors another vote of confidence in its own new study yesterday

February 25, 2011 – 3:12 PM

Mark Palmer will manage aggressive growth plans for Presidio Financial Partners LLC.

Mark Palmer departs Cetera and joins big West Coast RIA

Presidio Financial Partners knew the veteran from his Schwab days and lured him back to San Francisco

February 25, 2011 – 3:01 PM

Karin Maloney Stifler: Talking about money really is our last taboo subject.

What one advisor's letter to her son reveals about Americans' attitudes toward money

The financial crisis may have opened the door to money-talk -- and raises questions about advisors' responsibilities

February 25, 2011 – 2:56 PM

Ed Simmons has a doctorate from Harvard and a 24-year tenure with Merrill Lynch. He became an RIA on Friday.

Merrill Lynch and Bank of America cultural tension may spin out a new round of breakaways, recruiters say

A big Maine team goes to HighTower; more Merrill brokers in pipeline, says Weissbluth

February 24, 2011 – 3:36 PM

Jolie Keller: Knowing when to terminate a manager or not usually isn’t a clean, straightforward decision; rather, a picture emerges or a case develops over time.

When to fire an investment manager

Like selling a beaten down stock, it shouldn't be viewed as an admission of failure

February 24, 2011 – 3:35 PM

Diane Pearson: We are different genders; we do think differently.

Advisor Spotlight: Diane Pearson is building Legend Financial with sensitivity to women

The difference is not what's said but how it's communicated

February 23, 2011 – 5:58 AM

Bob Veres: In my mind, this is the place you come to find out where the future is.

Eavesdropping on the T3 conference by four bloggers with four missions as attendees

Social endurance needed as much as technical savvy at this technological event

February 23, 2011 – 5:24 AM

Tejal and Rahul Shah: I was on the phone like Jerry Maguire, Rahul says, I had all my e-mails prepared for clients and I pushed send, send, send.

Why one Merrill Lynch advisor needed to break away twice to become an RIA

Rahul Shah's first breakout attempt to Wachovia's FiNet fizzled and, his wife, Tejal Shah masterminded the second effort

February 22, 2011 – 6:23 AM

Raj Udeshi: Even on a Bloomberg terminal which you pay $2,500 a month for, there is no aggregated economic data in one place, all together, where it updates in real time. We've done that for the first time here.

How HiddenLevers is using the web to bring wirehouse-type economic analysis to RIAs

Company offers RIABiz readers interested in beta testing their new product 85% off the price

February 22, 2011 – 5:54 AM

Erik Ristuben: By giving our advisor clients direct access to our global team of strategists, we are aiming to help them better understand the nuances and opportunities in the global investing landscape.

A glimpse inside Russell's advisor event in Seattle

Invitees get full access to the big manager's top analysts who see volatility spikes

February 21, 2011 – 5:26 AM

Joel Bruckenstein and David Drucker welcome 450+ attendees to the official start of conference

T3 Friday Liveblog - updated every two hours - latest: RIA and vendor critiques

First day of official conference sessions kicks off bright and early at 8:00am

February 18, 2011 – 1:52 PM

John Moninger: It’s about growing the overall wallet.

An inside look at why LPL Financial is leading the charge with fee-based variable annuities

Sun Life and Harbor Lights Financial among those reporting the program's early success

February 18, 2011 – 6:17 AM

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