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Articles published 5/2011


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Leigh Faber will consult advisors and family offices in how to serve the ultra-affluent more effectively.

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 – 1:38 PM

David Akellian was the boss of Derek Bruton (pictured here) at Merrill Lynch's Broadcort and the two will work under the same corporate roof again.

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 – 2:38 PM

Ruth Papazian held top marketing positions at many of the industry's big-name firms.

LPL's chief marketing officer departs

Ruth Papazian made her mark in four years

May 27, 2011 – 2:37 PM

Vinton Fountain had to go to Dimensional Fund Advisors for training before he could complete the acquisition of Langer's practice.

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 – 2:32 PM

Tom Bradley: We’d better be getting our act together and find out the issues so we can do a better job.

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 – 2:09 PM

Deb Wetherby: Form a girls’ group.  Attitude matters – find and hang out with women who inspired you.

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 – 2:08 PM

Marie Swift: Who needs Las Vegas? Salt Lake City was a blast.

Seen, heard - and tweeted - at the NAPFA conference

A bustling social scene at Salt Lake City

May 26, 2011 – 2:08 PM

Rob Major: If you have 200 reports that do everything but cook you breakfast in the morning, you have a system that is unaffordable for 80% of the advisors that are out there.

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 – 1:51 PM

Brent Burns: Advisors who take on a fiduciary role have a lot of branding work to do.

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 – 1:50 PM

John Moninger: We think we’ve struck a great balance.

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 – 3:21 PM

Rich Gill: You may be biting off more than you can chew - or are willing to chew.

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 – 2:00 PM

Wayne Winthrow: A philosophical shift.

After AIG presses for new deal, SEI unbundles TAMP offerings

The arrangement between the companies had endured a multi-year "dormancy"

May 23, 2011 – 1:51 PM

Elizabeth Ostrander:  We recently spoke with an advisor who was the last to know that his client’s $50 million business was being sold.

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 – 1:39 PM

Chuck Schwab is sparing in his public appearances, which gives them energy.

'Chuck' Schwab, Tony Blair to headline IMPACT 2011

A former leader of the free world? Cool. But bring on Chuck!

May 20, 2011 – 2:37 PM

Michael Ball started a booming RIA from his college dorm room.

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 – 2:34 PM

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