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Articles published 6/2011


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Patrick Sweeny and David Connelly: In 1994, Pat and I felt we were very, very late to the game.

Advisor Spotlight: Two small Dean Witter breakaways are now Symmetry, a big DFA TAMP

David Connelly and Patrick Sweeny grew to $6.5 billion of assets largely as an exclusive DFA shop but recent added Vanguard, BlackRock and State Street ETFs

June 30, 2011 – 3:08 PM

Scott Slater: This is something that any firm who wants to grow needs to confront.

Schwab encourages RIAs to adopt client segmentation but some don't approve

The controversial practice is cherry picking to some advisors but experts say it's plenty fair and crucial for growth

June 29, 2011 – 3:06 PM

Sunit Bhalla: I can log into my bank in seven keystrokes.

How one RIA is running his practice on a Mac and finding it totally doable

Sunit Bhalla is taking full advantage of Apple to make sure he stays a one-man shop

June 29, 2011 – 3:06 PM

Scattered dollars: Asset pockets can be found across the country from Los Angeles to Trenton, N.J.

Advisors find big assets in some little-thought-of locales

Retirement enclaves and emerging tech towns are among the wealthiest areas in the country, data indicates

June 28, 2011 – 2:35 PM

Adam Bold: I got calls 10 years, 10 weeks and 10 days ago and as a prudent person, I listen to these things....clearly the bigger the company gets, the bigger all the numbers get in terms of growing the business.

Adam Bold: The Mutual Fund Store is not for sale

Company owner denies report but says he takes phone calls of outside financiers

June 27, 2011 – 10:18 PM

Roger Hewins: It was worth being there when you got there.

Schwab EXPLORE goes deep into the Rockies with big RIAs

Top executives from corporate, Advisor Services and Windhaven mingled with advisors representing 5% of RIA assets in U.S.

June 27, 2011 – 2:36 PM

Mark Tibergien: My goal is to upset you.

Tibergien uses brutal honesty to captivate big Schwab RIAs and others at San Francisco event

The Pershing leader and former Moss Adams star lit into advisors on practice management issues

June 24, 2011 – 2:50 PM

Richard Bernstein: This is the world’s greatest story – U.S. small caps.

Former Merrill Lynch analyst tells RIAs to steer clear of emerging markets

Richard Bernstein sees Greece as the tip of the iceberg

June 24, 2011 – 2:50 PM

Elliot Weissbluth: I can tell [advisors] life is better for you outside of the wirehouse and I didn’t know this fact three years ago.

HighTower dangles array of hedge funds to lure breakaways

Wirehouses have nothing on independents when it comes to access to hedge funds, firm says citing three-year study

June 23, 2011 – 2:39 PM

Kristin Gibson: Clients will really force your hand out of fear.

Russell Investments and Fidelity both see disconnect between HNW investors and RIAs in separate studies

Mere millionaires prefer fixed income and ultra-wealthy Tiger 21 members also edge toward perceived sleep-at-night investments

June 23, 2011 – 2:32 PM

Brian McLaughlin: We have nice new Nissans.

Review: How Redtail got hot fast among RIAs and how it plans to leapfrog itself

Brian McLaughlin's mindset includes: Technology, appealing pricing and bootstrapping growth

June 22, 2011 – 2:34 PM

Stacey Lau Welsh gave up her investment banking career to manage wealth. 'I can work hard and sleep in my own bed.'

Three happenings in the RIA world right now

The Innovative Alternative Strategies conference kicks off; United Capital brings aboard two high-level women advisors; and Ron Rhoades finally gets recognized for his efforts

June 22, 2011 – 2:26 PM

Dave Welling may play a pivotal role in whether Advent's Black Diamond acquisition makes the combined entity more like the Google or Microsoft of portfolio management systems.

Five recent articles that show the RIA business just keeps hitting milestones

Advent buys Black Diamond, Carson goes RIA, Duran champions consolidation, Schwab goes full-out into franchises, Brightscope grades RIAs

June 21, 2011 – 2:44 PM

Les Abromovitz: Avoid statements that expressly state or imply that you and your firm are in a class by yourself.

Examiners may ask “Says who?” about your advertisements

RIAs may run afoul of the SEC by using superlatives like "unparalleled" and "unique"

June 21, 2011 – 2:23 PM

Ric Edelman: You can’t do 10,000 things,10,000 ways for 10,000 clients.
June 20, 2011 – 3:02 PM

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