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Articles published 1/2012


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1,600 Laserfiche users, vendors, resellers, consultants and technology partners assembled in Disneyland to learn about latest developments in content management.

Laserfiche user conference draws a big crowd that wants to toss filing cabinets

Dan Skiles, Bill Winterberg and Joel Bruckenstein lent an RIA air to the 1,600-person event

January 31, 2012 – 5:38 PM

Mark Matson: It has the opportunity to be a very controversial show.

RIA/advisor coach Mark Matson invests half a million in a public television special

Matson is using the TV show, his book and personal appearances to spread his investment-strategy gospel

January 30, 2012 – 6:59 PM

Bob Oros resigned from Trust Company of America on Jan. 17.

Fidelity hires Bob Oros as its new RIA sales chief

The Schwab and LPL veteran leaves Trust Company of America and fills a void left by Scott Dell'Orfano

January 27, 2012 – 3:53 PM

Nick Georgis: We keep hearing conjecture about consolidation.

RIA deals fizzle in the fourth quarter but big-paying banks are getting back into the game

Schwab's latest numbers are a sobering reminder the M&A boom may remain elusive

January 26, 2012 – 6:14 AM

Will Kelly: We're not just a lift out.

United Capital signs on former advisors and principals of Harold C. Brown & Co.

The strategic buyer has found advisors who don't mind being employees -- as long as they can spend more time with clients

January 26, 2012 – 6:11 AM

David Barton: We have to live with the decision for a long time.

The TD Ameritrade-Orion pairing again proves productive -- this time to wrest assets from a $3.6 billion Schwab RIA

As part of a barrage of big moves by Mercer Advisors, Tamarac gets superseded for rebalancing

January 25, 2012 – 6:13 AM

Rob Isbitts: Fool me once shame on you, fool me twice shame on me, fool me three times...I'm outta here!

12 for 2012: A dozen issues you and your clients should really be focusing on this year

A veteran investment strategist sifts through mountains of information overload to find the way forward -- and takes stock of his 2011 prognostications

January 25, 2012 – 4:14 AM

Jim Pupillo: I looked at several vendor platforms to support us if we went completely independent.

HighTower stages its first raid of Morgan Stanley Smith Barney's elite consulting unit

A famous loyalist, Jim Pupillo crusaded for years to bring about change internally at Smith Barney before finally defecting

January 24, 2012 – 5:52 AM

Les Abromovitz: "Social plug-ins,” such as the “like” feature, might be viewed by examiners as a testimonial.

Think about compliance before sending or posting those articles you read

A new SEC alert gives updated guidance regarding the pitfalls of using social media

January 23, 2012 – 4:40 PM

Michelle Smith is looking for ways to handle growth.

Dynasty Financial and Black Diamond combine to pick off a big family office helmed by women

Alexandra & James Wealth Management uses the duo to replace Fortigent as it nears $1 billion of AUA

January 20, 2012 – 5:14 AM

Garry Taylor says he likes the Focus model better because advisory firms get to keep their identity.

Second ex-Fidelity exec in a year nabbed by Focus Financial

Garry Taylor's hire comes as Focus shifts it emphasis from acquiring existing RIAs to luring breakaway brokers

January 20, 2012 – 5:01 AM

Chip Roame: They can offer a traditional payout of 40% or so and pay for personnel, rent, technolog or they can pay a higher payout.

Wirehouses will create their own independent models, Tiburon report says

WIll 2012 be the year that wirehouse 'halfway houses' catch fire?

January 19, 2012 – 6:28 AM

Dave Welling: Black Diamond is eager to commit development time to enhance our Tamarac integration.

Tamarac shuts out Black Diamond from integration

The Seattle-based software company says it's a data issue but Black Diamond says it'll expend resources to serve mutual clients

January 18, 2012 – 4:19 AM

Mitchell Caplan: That's what happened with E*Trade and it validates us and lets us know we're doing the right thing.

What ex-E*TRADE CEO Mitchell Caplan says emboldened him to lead an $83 million management coup of Jefferson National

By pouring in capital from a former Goldman Sachs leader and others into a bigger sales effort, Caplan believes sales of annuities through RIAs are set to explode

January 17, 2012 – 8:26 PM

Matt Stroh: We've have had another consecutive year of over 50% revenue growth.

What Tamarac's overhauling of its Advisor Xi has yielded

The Seattle company's wants RIAs to buy into its whole system so it's sprinting to create the latest word in integration

January 17, 2012 – 6:09 AM

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