Articles Published 10/2012


HeadlinePublish date

LPL loses a mega-client -- but not to a competitor

The big IBD also confirmed long-whispered rumors that it's begun to offshore some operations

October 31, 2012 — 7:00 PM UTC

How RIA business players in New York are roughing it through Hurricane Sandy

Principals at Dynasty, Envestnet and AppCrown are engaging in guerrilla tactics to brave near-impossible business conditions

October 31, 2012 — 6:57 PM UTC

Schwab and Advent Software forge historic agreement -- mostly for the good of Black Diamond users for now

Aided perhaps by the ex-Schwab employees moving to Jacksonville, the two giant RIA forces, both San Francisco-based, are looking happily engaged

October 31, 2012 — 6:54 PM UTC

With as much finesse as cash, Marty Bicknell wins a $1.3 billion RIA in an auction-style contest

Mariner Wealth Advisors brushed aside a host of competitive bids to absorb Cincinnati-based RiverPoint -- a rare jewel for its size, quality and availability

October 30, 2012 — 5:27 PM UTC

What we know about Sandy at RIABiz

The quiet is deafening

October 30, 2012 — 5:26 PM UTC

Ric Edelman is looking to add a $1-billion RIA elephant even as he unveils an online consumer strategy aimed at the chipmunks

Already Barron's No. 1 with predominantly a mass-affluent game, the radio dynamo is ready to invest private equity to add a quick $1 billion of AUM

October 29, 2012 — 3:26 PM UTC

RIAs must prepare for post-disaster recovery or regulators will lower the boom

Tornadoes, floods and hurricanes, sure, but death, disability and bad succession plans can also be disastrous for clients

October 29, 2012 — 3:22 PM UTC

What you need to know about gifting as the Bush tax cuts near their sell-by date

If an Obama reelection triggers the dreaded Taxmageddon, there will be real fallout for those trying to pass on their wealth

October 29, 2012 — 5:51 AM UTC

Tom Nally answers 10 questions that show one seminal shift: TD Ameritrade no longer seeks a few assets and extended probation

The RIA custodian built by taking token accounts from Schwab malcontents then scrambling for the rest is now leaving the peashooter at home

October 26, 2012 — 3:49 PM UTC

Schwab's plan to quickly get 1,750 RIAs off the desktop gets pricing and a pilot

Schwab PortfolioCenter will finally have a cloud option that doesn't take away an advisory firm's control of its data

October 26, 2012 — 4:01 AM UTC

Schwab adds element to plug-and-play technology with eye toward existing RIAs, not just fresh wirehouse recruits

NetDocuments will put electronic files right into the CRM window for RIAs using Schwab OpenView Integrated Office

October 26, 2012 — 3:59 AM UTC

What a wave of 401(k) lawsuits tell us about what RIAs really need to worry about

Plaintiff's attorneys have found the soft underbelly of advisors and plan sponsors, but the pitfalls are clear and avoidable

October 25, 2012 — 4:12 AM UTC

TD Ameritrade plants its flag in sunny SoCal, playing host to $100 billion worth of RIAs

The Institutional Fall Regional urged innovations as RIAs become the iPhone to the wirehouse's BlackBerry

October 25, 2012 — 3:55 AM UTC

19-advisor firm in Santa Monica jumps to LPL with social media-fueled strategy for the underserved under-40 set

Gerber Kawasaki's selection of the big broker down the SoCal road started with a LinkedIn message to Esther Stearns

October 25, 2012 — 3:10 AM UTC

New York conference: SIFMA wants members to be like RIAs -- minus the same rules of accountability

Alan Greenspan jumped in on the mea-culpa-fest that included bracingly frank comments from a top Pimco official

October 24, 2012 — 5:32 AM UTC

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