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RIABiz

Articles published 4/2011


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Randy Allison Hustvedt was looking for the right fit.

A big Boston rainmaker joins an RIA startup in New York with meteoric growth

Randy Hustvedt's hire to Evercore resumes hiring for ex-U.S. Trust CEO's fast-growing venture

April 29, 2011 – 5:46 AM

Mindy Diamond: In a perfect world, most advisors would say that they would love to have their own business, and control their destiny.  But it’s not a perfect world.

The six traits that separate successful independents from wirehouse denizens

Mindy Diamond's advice on how to see the realistic reflection in the mirror.

April 29, 2011 – 5:36 AM

Mindy Diamond: Right now, independence is what’s hot.

Why Mindy Diamond is morphing her firm away from pure wirehouse recruiting

Fees are still paid on contingency so a sit-down with her consultancy costs nothing

April 29, 2011 – 5:35 AM

Existing sites that list advisors aren't comprehensive, says Mike Alfred. "The average consumer won’t be able to go on line and find the person who took them to lunch that day.”

BrightScope's huge advisor database is first search-engine friendly way to connect consumers, advisors

Advisors can pay to add information, but disciplinary actions will show up

April 28, 2011 – 2:42 PM

Andrew Lin rejoined his old RIA firm after a stint at United Capital and wasted no time setting a new technological and strategic series of events in motion.

How five recent RIABiz articles caught readers' attention and what bigger stories they tell

If advisors blinked in the last two weeks, telling chapters of growth slipped by

April 28, 2011 – 1:18 PM

Chip Roame says wirehouses can overcome their tarnished brands but may stumble on their lack of a strategy.

10 things I learned at the fall 2010 Tiburon CEO Summit

Chip Roame puts wirehouses, new regulations and the economic downturn into perspective

April 27, 2011 – 3:26 PM

Aite's Sophie Schmitt: A lot of firms are looking to move from their GoldMines and their Rolodexes.

Aite Group report: CRM software industry wins RIA respect -- and dollars

Tops execs for Redtail and Junxure say growth likely to be much higher than report's estimates

April 27, 2011 – 2:21 PM

Scott Hanson, Skip Schweiss and Stuart DePina in New York
April 27, 2011 – 2:20 PM

Redtail's Brian McLaughlin: Are we on the same page, and are we ready to go with the ability to open a new account through Redtail?

TD Ameritrade brings software elite to Dallas for an API summit

The number three custodian its letting its technology partners put the final touches on a low-walled garden

April 26, 2011 – 2:49 PM

Dorie Rosenband: "Too often, I was approached by male brokers, much older than me, who felt it would be a perfect match for me to fold my business into theirs and work on growing their firms, in exchange for a cut only slightly above my wirehouse payout."

Dorie Rosenband's tough questions about being a woman broker led her to become an RIA

What are the most valuable skills for an investment advisor?

April 26, 2011 – 2:37 PM

Robert Martorana: Wirehouses are reinventing their advisor strategies and portfolio construction to gain a bigger slice of the wealth management business.

FRC report: Merrill Lynch, Morgan Stanley, UBS, Wells Fargo are undergoing a radical transformation to a brighter future

Their power to bring institutional-level investing to mass affluent investors could give them the edge though observers have doubts

April 25, 2011 – 2:43 PM

Joe Wride: You can start with a 30,000-foot-view of a client’s situation and then select different reports.

Advisor Tested: eMoney's automation adds the biggest benefit; account aggregation still building

Web-based software available to clients; Sage Advisors plans to use the iPad to show off the capabilities

April 25, 2011 – 2:43 PM

Nick Georgis: Advisors get knocked like they’re not good business people. I don’t agree with that at all.

Schwab University is fast off the mark and its course selection is set to grow

RIA principals are pleased to be relieved of rote training tasks

April 22, 2011 – 5:42 AM

TD's Skip Schweiss: “We have advisor demand for it. We started offering it (to a small handful) and doing manual processing to make it work.”

TD Ameritrade beats Schwab to the punch with ETF option for retirement plans

Platform allows advisors to sell mutual fund and ETF capability

April 21, 2011 – 2:48 PM

Robert Rowe: "When we came on board within three months, we lost a $100 million portfolio because we couldn’t provide accurate performance capabilities. Right off the bat you’re absolutely dead."

Advisor sues Raymond James after he joins one RIA and forms another

Robert Rowe alleges he was misled into leaving Morgan Stanley with his 8-person team

April 21, 2011 – 1:53 PM

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