Articles Published 8/2011


HeadlinePublish date

Rough markets cull the advisory herd but in a healthy way, new Cerulli data shows

RIAs grow in numbers and strength

August 31, 2011 — 2:27 PM UTC

The Carlyle Group gets a bigger testing paw into RIA waters

The giant private equity firm is putting capital toward an aggressive expansion of the $4 billion Avalon Advisors

August 30, 2011 — 3:39 PM UTC

How McLean Asset Management is adding practices without making acquisitions

The New Hampshire and Virginia practice is bringing smaller RIAs in under its wing

August 29, 2011 — 2:20 AM UTC

Four news items for RIAs

Banks buy RIAs again; UHNW go nuts for iPads; the CFP Board gets much tougher; a big IBD gets a new president

August 26, 2011 — 5:13 AM UTC

Should RIAs buy gold now as a hedge?

When the US went off the gold standard in 1971, things changed

August 26, 2011 — 5:08 AM UTC

Schwab's rapid response to letter snafu seems to be smoothing ruffled feathers

The custodian garnered praise for its straightforward apology, but does the blunder point up a larger conflict of interest?

August 25, 2011 — 5:35 AM UTC

Fiduciary leaders splinter into two advocacy groups over divergent views

Knut Rostad takes six people with him to start the Institute for the Fiduciary Standard

August 25, 2011 — 5:24 AM UTC

How a formerly homeless Vietnam veteran became a big-time RIA

The financial planner and blues guitarist took a 'miracles' course in Waco, Texas and is allergic to 'salesy' investments

August 24, 2011 — 4:29 AM UTC

Beta test of Schwab's grand integration plan draws rave, but will the slow rollout prove detrimental?

Schwabinstitutional.com data flows freely into Salesforce.com's CRM in 12-RIA trial

August 23, 2011 — 5:56 AM UTC

Orion snags $2 billion Rehmann Financial account from Black Diamond

The mega-Michigan-based RIA had hyper-specialized needs

August 23, 2011 — 5:55 AM UTC

Former Northern Trust CIO brings a cool billion and lofty credentials to HighTower

The RIA-to-RIA spin-away advisor will hold down offices in Seattle and Minneapolis and build support teams from scratch

August 22, 2011 — 2:57 PM UTC

Private equity firm acquires First Allied

Lovell Minnick buys the San Diego IBD from Advanced Equities

August 22, 2011 — 2:56 PM UTC

Commonwealth, Cetera and The ETF Store take notable actions

Commonwealth replaces Fidelity technology; Cetera snags Gene Goldman; an LPL vet, and upstart ETF Store takes another page out of Adam Bold's book

August 22, 2011 — 2:48 AM UTC

Laser App is showing the prosaic business form's sexy side at its San Diego conference

Boring? Making the trip for the App Net event were folks from companies including: Schwab, TD Ameritrade, Pershing, Fidelity, Shareholders Service Group, Orion, Albridge, DST, Laserfiche, Redtail, MoneyGuidePro

August 19, 2011 — 8:04 PM UTC

Was Schwab's letter of apology to RIAs good enough?

One advisor called the custodians reaction 'tepid' and others expressed have even stronger feelings

August 19, 2011 — 2:25 PM UTC

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