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RIABiz

Articles published 9/2011


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Alex Potts: One thing is certain. This battle will continue at least through the end of this year.

Where the rewrite of financial regs stands relating to RIAs

The stakes are high and the outcome is still uncertain; here's what we know

September 30, 2011 – 3:07 PM

Ed Gjertsen: It's the microwave generation.

Trust Company of America is giving RIAs more weapons for free-wheeling

New technology puts advisors and clients literally on the same virtual page

September 29, 2011 – 4:58 AM

Ed O'Brien says says Fidelity's ability to integrate third-party vendors sets WealthCentral apart from others.

Fidelity is set to add Envestnet, Redtail, Morningstar, AppCrown and Salesforce to WealthCentral

Early to the integration game, the Boston giant will seek to pad its lead -- but it could take a while to execute

September 28, 2011 – 3:09 AM

Felipe Luna: While the wirehouse model certainly has its detractors the one thing it does really well is it support the advisor on client-based activities and that's why they're so much more productive. That's the crux of our model.

CONCERT Wealth Management nabbed 12 wirehouse teams in the last 12 months and this wirehouse-lite is just getting started

The San Jose-based firm targets advisors with as little as $100 million and it doubled in size in the last year

September 27, 2011 – 4:32 AM

Bill Crager: So many advisors dialed in. We realized there was great demand for timely information and analysis that was easily accessible.

With fear ruling the markets, Envestnet makes a temporary conference series into a semi-permanent one

The Chicago company is also opening the call to any advisor - regardless of whether they do business with its TAMP

September 27, 2011 – 4:03 AM

Brian Hamburger, founder of MarketCounsel's Member Summit 2011, expects 200 advisors with between $100 million and $1 billion in assets

MarketCounsel, CFDD, T3 and Schwab vie for advisors to attend their fall conferences

As competition for RIA time and money grows, many events are catering to more defined niches

September 26, 2011 – 4:03 AM

Michael Nathanson: If there is no IPO, we'd still be comfortable holding shares.

A look inside Focus Financial's big deal with The Colony Group

The Boston RIA put the big New York aggregator under a microscope and used high-end lawyers and investment bankers for added vetting

September 23, 2011 – 4:37 AM

Tim Oden: If clients fire the market then they don't need financial advisors.

The booming breakaway market could be slowed by the sick stock market, say Raymond James and Schwab

Dislocation at places like UBS and Merrill Lynch helps recruiters until the point where clients are thoroughly spooked

September 23, 2011 – 4:06 AM

Alan Carlisle: Between Orion and Envestnet, it came down to pricing.

Orion wins another RIA with $1 billion-plus in AUM

Hanson McClain is switching over from Schwab PortfolioCenter and Envestnet was the runner-up

September 22, 2011 – 3:03 AM

Les Abromovitz: Ironically, the RIA that received notice of this desk audit was not required to be registered in the state conducting the examination.

RIAs switching to state registration may be examined by a second regulator, too

The audit may come remotely from a state where the advisor doesn't have a place of business

September 22, 2011 – 2:54 AM

Jeff Leventhal: One lawsuit in a lifetime is enough. I followed the protocol to the T.

HighTower extends its winning streak of luring breakaways near the nation's capital

The Chicago aggregator has already tied last year's annual recruiting with more than three months to pad the mark

September 21, 2011 – 4:21 AM

TJ Gilsenan: Consider the entire campaign a real-time experiment in content marketing.  I highly encourage Schwab to share this information with advisors.

How Schwab's RIA advertising campaign could pay quick dividends for some advisors

The effort should yield quantities of quality content that firms can use

September 21, 2011 – 4:17 AM

Marie Swift led a roundtable discussion that yielded some novel thoughts

Advisors talk over the future of financial planning at FPA Experience 2011

Outgoing robo-calls, 1-900 advice shouldn't be dismissed as tools

September 21, 2011 – 12:00 AM

Doug Trott: if you hold the line and don't lower your prices when the market goes down you can still keep your clients.

Slashing fees to clients in tough times won't help your business, study says

PriceMetrix survey covering advsiors with $900 billion AUM shows clients are mostly attuned to trustworthiness, not basis points

September 20, 2011 – 3:41 AM

Elizabeth Ostrander: Leaving the financial advisor out of the process can actually impede, rather than fulfill, the wealth planning goals of the client.

How RIAs can help clients sell their real estate without taking a tax bite

A range of strategies, including the tax-free 1031 exchange, enable investors to tax-efficiently monetize their real estate investments

September 20, 2011 – 3:39 AM

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