RIABiz

News, Vision & Voice for the Advisory Community

RIABiz

Articles published 11/2012


Headline

Publish date


Amy Danforth: We thought there would be a pause after the election, but ... it's only intensified.

In big surprise, Fidelity and Schwab rake in charitable assets -- early, often and unremittingly in 2012

Some alchemy of tax-hike fears and consumer confidence has warmed the Grinches' hearts

November 30, 2012 – 5:05 AM

Ed Friedman: The new proposal will curtail the “serial” movers from jumping ship every few years strictly for the check.

Will FINRA knock out the 'serial movers' and boost the RIA option in the bargain?

A rule looked at for decades may finally gain traction

November 30, 2012 – 4:58 AM

Jay Bruce: It was obvious to me this was life-changing money.

NFL Players Association raises the bar for financial advisors as more RIAs suit up to tackle the bottom lines of underserved sports stars

Attention advisors hoping to become -- or remain -- NFLPA-certified: You need to get your bona fides in by this Friday

November 29, 2012 – 6:21 AM

Joe Duran: We really think our next wave of growth will be to open offices around the country with our retail brand.

United Capital's Joe Duran throttles back on deals as he opens an RIA version of Hamburger University

Stephanie Bogan will lead the training center that aims to create corporate 'mini-me's' around the country

November 28, 2012 – 4:44 AM

Sallie Krawcheck: I did recognize that we had ... breached our clients' trust, regardless of what the small print said.

Krawcheck reveals: What I learned when I got fired (the first time)

The veteran of more than one bum's rush tells what really sealed her fate at Smith Barney

November 28, 2012 – 4:04 AM

Andy Rachleff: Mark Zuckerberg should not use us.

Looking more like Windhaven after a revamp, Wealthfront names a noted academic CIO and boosts its assets 15-fold

Andy Rachleff's new strategy omits RIAs-as-managers in favor of a centralized ETF-manager approach with Burton Malkiel calling the big shots

November 27, 2012 – 6:45 AM

Elisse Walter wants a "harmonized" fiduciary standard and is set to serve as the agency's leader until late in 2013

Obama makes 'really unfortunate' appointment of Elisse Walter as new SEC chairman

The former FINRA, CFTC and SEC exec will replace Mary Schapiro next month as RIA leaders brace for a new round of regulatory battles

November 26, 2012 – 9:33 PM

Mike Paulus: We're not just a Black Diamond replacement for RIAs.

Addepar hits $50 billion of assets and turns its eyes to Advent-Black Diamond's plump RIA market

With close to $12 million in revenue, a hotshot tech startup is looking to move into second phase of development: Attracting RIAs despite naysayers

November 26, 2012 – 5:42 PM

Joel Bruckenstein: As things turned out, some better pure technology opportunities came along.

Joel Bruckenstein and Bob Veres part ways to do their own conferences

Veres sees a glut of conferences but has a passion to change that with a new-concept event

November 26, 2012 – 5:41 PM

Bob Veres: 'Everyone feels screwed,' one advisor wrote.

The top 10 deepest fears -- and highest hopes -- of RIA practitioners

A decade of flatlining investment results has advisors worried about clients' faith in the very fabric of the markets

November 26, 2012 – 5:34 PM

Dwight Mathis: By the time they graduate after 43 months it'll put clear blue sky between us and our competition.

Merrill Lynch makes bold moves to train new recruits for an RIA-centric future

The rethought training program suits up new advisors -- many of them career changers -- for independence as well as for the wirehouse path

November 21, 2012 – 4:35 PM

Eric Henderson: Now is the time for financial advisors to pick up the phone to invite their clients to have a critical discussion about their portfolio.

Advisors need to deliver a reality check to clients about 2013 tax changes barreling down the pike

The changes , especially for the wealthy, are many but so are the ways to react

November 21, 2012 – 6:24 AM

Schwab IMPACT is one place where the marketers and consumers clamor for each other.

An advertiser's-eye view of Schwab IMPACT: Who's doing what right?

Sponsors that use an outgoing approach get tremendous client inflow

November 20, 2012 – 4:12 PM

Manisha Thakor: The purpose of money is to bring serenity, calm and joy to your life

One Santa Fe woman's female-centric approach to advice is attracting clients to her iconoclastic RIA

Manisha Thakor was drafted into her venture by three wealthy women who liked none of the existing alternatives

November 20, 2012 – 4:46 AM

Jack Waymire: Non-discretionary advisory assets have high retention rates because advisors have lower levels of accountability.

Which type of AUM is worth more to a buyer?

Assets farmed out to money managers are generally more valuable than purely discretionary assets under management

November 19, 2012 – 5:14 AM

RiaBiz Archives

RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING


RIABiz Directory sponsored by:

Directory Sponsor Logo