Articles published 5/2011
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Publish date
Family Office Exchange is betting that RIAs and the ultra-affluent can't get enough of each other
FOX sees niche as big RIAs fill fiduciary void, banks lose their hegemony and the economy mints more ultra-affluent investors
May 31, 2011 at 1:38 PM
LPL brings aboard a godfather of clearing business
David Akellian left his position as RIA chief of Stifel Nicolas yesterday and is jumping to the IBD giant to diversify its business model
May 27, 2011 at 2:38 PM
LPL's chief marketing officer departs
Ruth Papazian made her mark in four years
May 27, 2011 at 2:37 PM
How a solo RIA sold his 20-year DFA-based practice to an IBD rep
Ready to call it quits but with no plan, Peter Langer found an unlikely white knight
May 27, 2011 at 2:32 PM
TD Ameritrade launches an effort to develop women advisors
Schwab and Fidelity do not share the philosophy of specifically targeting female RIAs - and female investors
May 26, 2011 at 2:09 PM
Eavesdropping on the NAPFA's pre-conference Women's Initiative
A daylong 'conversation café' emphasized communication, leadership and personal presentation; some guys crashed the party
May 26, 2011 at 2:08 PM
Seen, heard - and tweeted - at the NAPFA conference
A bustling social scene at Salt Lake City
May 26, 2011 at 2:08 PM
After tortoise-like beginnings, AssetBook is now on-the-hop in portfolio management software
Rob Major takes what he learned in building Techfi to make AssetBook a functional, no-frills system
May 25, 2011 at 1:51 PM
NAPFA conference hits hopeful note as members look to the future
Unfazed by venue change, advisors mixed, mingled, blogged and tweeted their way through the three-day meeting
May 25, 2011 at 1:50 PM
LPL has a new high-margin, high accolade advisory platform but SAM's sticking around
Under Model Wealth Portfolios, the advisor stops picking investments, but they still pick strategies.
May 24, 2011 at 3:21 PM
Purchasing too much technology has its own dangers for RIAs
The more sophisticated the system you buy, the more commitment and expertise it will require
May 24, 2011 at 2:00 PM
After AIG presses for new deal, SEI unbundles TAMP offerings
The arrangement between the companies had endured a multi-year "dormancy"
May 23, 2011 at 1:51 PM
Five reasons for RIAs to think more like Goldman Sachs about businesses owned by clients
The majority of the baby boomers’ wealth is held in the form of privately owned companies and monetizing them is an opportunity
May 23, 2011 at 1:39 PM
'Chuck' Schwab, Tony Blair to headline IMPACT 2011
A former leader of the free world? Cool. But bring on Chuck!
May 20, 2011 at 2:37 PM
Three suddenly-bigger RIAs explain what sparked the growth
Michael Ball, Michael Walters and Robbie Cannon tell their stories at Trust Company of America web event
May 20, 2011 at 2:34 PM
Envestnet and other TAMPs keep the asset train rolling in the first quarter
Genworth had a rare deceleration in net flows but it'll be short-lived after a new product launch, according to Gurinder Ahluwalia
May 19, 2011 at 3:21 PM
Five ways that big, savvy RIAs are winning clients online
It starts with web content and ends with reasonable expectations about compliance and LinkedIn
May 19, 2011 at 2:30 PM
How a top Royal Alliance advisor is selling his practice to young staffers
First Steve Cassaday cloned himself then he began executing his succession plan
May 18, 2011 at 3:38 PM
IMCA delivers sobering content in high-rolling atmosphere of Las Vegas
Shiller's downer message was tempered by Ben Mezrich; the conference buzz was the Advent-Black Diamond deal
May 18, 2011 at 3:22 PM
Why Joe Duran believes that classic RIA firms face extinction
Baby Boomers' expectations and rising technology could put a new squeeze on the old model
May 17, 2011 at 2:47 PM
Step-by-step on finding a platform for alternative investments
A guide to assessing solutions to meet rising demand from high net worth clients
May 17, 2011 at 2:46 PM
A blessing from Charles Goldman helped seal the Advent-Black Diamond deal
Executives were ready to pull the trigger but wanted reassurances about how elements of the RIA market would react
May 16, 2011 at 2:19 PM
Cetera spends millions on rebalancing software to make its reps more RIA-like
Automation of investment management using Folio Dynamix follows Advent implementation
May 16, 2011 at 1:53 PM
Why Advent and Black Diamond are merging and how advisors look at the deal
The rival software makers hit it off after their top execs had a February phone call
May 13, 2011 at 2:27 PM
Why compliance experts are apt to dislike Facebook
When does a click constitute an endorsement?
May 13, 2011 at 1:08 PM
Advent to buy Black Diamond for $73 million
The big San Francisco provider will purchase one of its scrappiest competitors
May 12, 2011 at 9:32 PM
FiNet's wirehouse-lite model scores with advisors
Investment in recruiting pays off with highest average assets among IBDs
May 12, 2011 at 2:27 PM
BrightScope debate has familiar feel of an industry being dragged kicking and screaming into the new world
Investing in the Digital Age: Andy Rachleff writes about the freight train of transparency
May 12, 2011 at 1:58 PM
Fidelity holds exclusive annual conference and gets an unforeseen jolt of energy from Bin Laden's death
Advisors were happy to have Bill Clinton, Fareed Zakaria and other experts on hand for perspective
May 11, 2011 at 2:49 PM
Why smart diversification and risk management are your best friends
Earnings season gave stocks a reason to rally in April; healthcare and European funds lead pack
May 11, 2011 at 2:40 PM
Fidelity steps up effort to bestow its marketing magic on RIAs
Schwab, Pershing and TD Ameritrade are all quietly amping advisors to win new business, too
May 10, 2011 at 2:21 PM
The overlooked option for breakaways: tucking-in
A new channel to independence emerges, complete with soft-landing service providers
May 10, 2011 at 2:20 PM
HighTower wins a Palm Desert Merrill Lynch team in lightning fashion
Amidei, a former gas station owner and bond trader, knew what he wanted and acted fast
May 9, 2011 at 2:41 PM
Focus Financial pivots to breakaway strategy with Fidelity recruit
Mark Dupont will put a new spin on the big aggregator but entrepreneurial bent remains
May 9, 2011 at 2:40 PM
Cambridge, Commonwealth vault advisors into social media; the boost is mostly free, for now
Will partnerships with, respectively, Socialware and Erado, translate into elusive growth-via-networking?
May 6, 2011 at 2:04 PM
Eavesdropping: Ron Carson gets an electric reception at his PEAK event, and calms the waters surrounding his new RIA
A peek inside the Excell conference
May 6, 2011 at 1:53 PM
Fidelity nabs a top LPL RIA executive for new ultra-affluent unit
Trevor Norton will lead Fidelity's drive to bring white glove services to giant clients of RIAs
May 5, 2011 at 2:52 PM
Under fire, BrightScope says it will allow advisors to update simple information for free
Company slams SEC as obstructionist
May 5, 2011 at 2:52 PM
Why exactly is Ron Carson forming an RIA and why is it happening now?
LPL still works as a custodian for his $3-billion practice, but the lack of custodial flexibility was hurting his plan to bring on scores of new partner firms
May 4, 2011 at 3:08 PM
M&A market reaching a new normal based on RIA-driven deals, say competing reports from Pershing, Schwab
Schwab data contradicts the report on the surface but also shows fewer big, traditional deals
May 4, 2011 at 3:08 PM
When dreams of sudden riches turn to nightmares, there are answers for clients and advisors
A special compassion and knowledge is required for people who get what we think they want
May 3, 2011 at 2:44 PM
Why women just aren't buying what financial advisors are selling
Slick and smooth won't win trust, Spectrum study shows, and improving results are too little, too late
May 3, 2011 at 1:46 PM
BrightScope sticks to its guns as it responds to outspoken critics of its Advisor Pages
The San Diego-based data tracker opens a window on the practices of 450,000 advisors; skeptics say it crosses a line
May 2, 2011 at 1:18 PM
LPL's biggest rep, Ron Carson, will convert his firm to an independent RIA
The big IBD is staying in the picture but Carson is also forming its own broker-dealer; Schwab, TD Ameritrade get assets
May 2, 2011 at 1:14 PM
Four brokerage-world practices that could ramp up RIA asset growth
... four RIA-world lessons brokers would do well to heed
May 2, 2011 at 5:57 AM
Dimensional Fund Advisors gins up its first conference dedicated to the 401(k) market
The Austin, Texas-based fund company sees growth in retirement plan assets from big customers
