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RIABiz

Articles published 3/2011


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Yanni Bousnakis is a prize catch for First Allied.

First Allied pushes the advisory envelope with hire of LPL executive

Yanni Bousnakis will help Matt McGinness fashion a way for advisors to manage on a discretionary basis at the IBD

March 31, 2011 – 2:14 PM

Tom Lydon: It shows we’ve got our heads in the game.

How ETF Trends' Tom Lydon went from blog writer to hirer of veteran Dow Jones talent

Looks to double content, reach traders and build on 17,000 subscribers

March 30, 2011 – 2:52 PM

Chatham Wealth Management's Dan Moskowitz: When I started to hear that the TD program was getting a lot better, I said “Let’s see if there’s a way we can make this work.”
March 30, 2011 – 2:45 PM

Les Abromovitz suggests that advisors file their ADV forms even if they're not happy with the content: 'You are at least making a good faith effort to be compliant.'

How suitable are your investment strategies? The SEC cares, a lot.

New ADV form heightens attention to the issue

March 30, 2011 – 2:19 PM

Bernie Clark: Why would you claim the middle ground of being a quasi-employee (at an IBD) with a lesser brand name?

Virtually all big IBD reps covet the independent RIA life, Schwab study says

Schwab's Bernie Clark and TD's Tom Nally see IBD reps undergoing a palpable mood switch, but Fidelity's Mike Durbin and Pershing's Mark Tibergien are unconvinced

March 29, 2011 – 1:31 PM

Jim McTague: We're going to have to get used to volatility, like we have to get used to the fact there may be radiation in our water from Japan.

Wake-up call: ETFs feel the heat of NASSA's exotics panel

Beloved for their stellar qualities by RIAs, they are nonetheless the casino chip du jour for many traders

March 29, 2011 – 1:26 PM

Lori Hardwick: RIAs require a much longer sales cycle.

Envestnet to zero in on RIAs and family offices

Two new hires from Fidelity's National Financial and Fortgent LLC reflect the outsourcer's strategic direction

March 28, 2011 – 2:18 PM

Bob Veres: My own view of the future is that  there won't be very many sales to lending institutions or roll-ups.

Bob Veres' level-headed response to Mark Hurley on valuation

Conflicts of interest are culprits in the extreme positions being taken in the debate, he says

March 28, 2011 – 2:10 PM

Ric Edelman: It hasn’t proven to be a problem for Charles Schwab.

Radio-star RIAs drive giant growth at national chains one $400,000 investor at a time

Edelman and Mutual Fund Store each surpass $6 billion of assets and, post-recession, they're throwing up stores with abandon

March 25, 2011 – 1:12 PM

Dave Emma: Athletes get taken advantage of and that happened to me.

A hockey star went from being a Merrill Lynch client to a Merrill Lynch advisor to the latest Merrill Lynch breakaway

Despite misgivings for 20 years, Dave Emma stayed largely for the culture and then Bank of America came along

March 25, 2011 – 1:11 PM

Rob Isbitts: There's not much of an effort to get this valuable information into the hands of investors.

How capture ratios can help you prepare for the next downturn

A tool little noticed by investors can help you determine which investment style works in which market

March 25, 2011 – 1:06 PM

Todd Thomson: All the best products, the best thinking, the best money managers, used to be on Wall Street. Today, none of that is on Wall Street.

In a Q&A, Todd Thomson explains why Wall Street's glitter faded beside Dynasty opportunity

The former Smith Barney chief is mentoring his young colleagues and raising capital from Wall Street veterans

March 24, 2011 – 2:51 PM

Shirl Penney: We all believe this is a unique time for a mature industry.

RIABiz goes to New York in search of RIA life in the land of investment banking giants

The ambitions of Dynasty Financial's Shirl Penney and Focus Financial's Rudy Adolf match the city's scale

March 24, 2011 – 2:29 PM

Gregory T. Friedman: We weren't looking like market leaders.

Junxure moving to the cloud amid market pressures

In an unusual move, CRM Software's Greg Friedman pre-announces the product release by nearly a year

March 23, 2011 – 2:18 PM

Mark Hurley: Wealth management firm operating margins are under assault from accelerating non-owner compensation, the single largest cost in the wealth manager economic model.

Mark Hurley takes on Bob Veres in round two of the valuation debate

Veres 'fanned the flames' but didn't account for certain key points, like the rising cost of labor and the expense of winning new clients, says Hurley

March 23, 2011 – 2:00 PM

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