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Articles published 12/2012


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Jack Bogle was lending his experience and reputation to Advizent.

Jack Bogle steps aside as senior standards chairman at Advizent

The Vanguard legend reportedly had competing interests for his time

December 28, 2012 – 5:10 PM

Les Abromovitz: It will be of little consolation to clients to know that their advisors' nest eggs went down the drain along with their own.

SEC may tackle RIAs claiming to have 'skin in the game'

Heed the cautionary tale of the recent $1.6 million settlement against an RIA and its affiliated B-D that falsely claimed they co-invested in a fund

December 28, 2012 – 2:30 AM

Eric Clarke sees Salesforce approaching 'industry standard' status and nudges its rivals to get into the integration ballgame.

Orion hauls down nearly $2 billion of accounts from two Advent clients, clinching better than 50% growth for the year

Eric Clarke's firm is high on Salesforce and starting to look beyond its Omaha home for expansion as it needs more and more skilled labor

December 27, 2012 – 2:25 AM

Readers most 'liked' a May story that featured an enigmatically unpeopled office (think IPO cash) and some old fashioned gumshoe reportage.

RIABiz' 10 most-read stories of 2012: What fascinated you and why

Facebook, fallout from DOL's new 401(k) regs and happenings at Advizent, Addepar and Windhaven were reader catalysts

December 26, 2012 – 4:44 PM

Rob Isbitts: Your capital gains and dividend tax rate may be a lot less than 40%

Fiscal Cliff vs. Jimmy Cliff: How the leap may look more like Y2K or the Mayan calendar

We are sitting in sitting in limbo with many rivers to cross but harder they come (up), the harder they may not yet fall

December 26, 2012 – 3:40 PM

This American flag showed its colors on Portland Harbor as a nor'easter raged

Merry Christmas: A nor'easter makes life interesting as RIABiz heads up to Maine

No snow or skating ice but I put a stop to L.L. Bean mailings and a dog comes to life for Christmas

December 24, 2012 – 8:49 PM

Stuart DePina: If business hadn't exploded in the past six months, we would have taken on all comers [in-house].

Tamarac picks second Microsoft partner to handle spike in demand from big RIAs

Stuart DePina wants Salentica's sheer personpower to avoid getting flooded by his own pipeline

December 21, 2012 – 4:06 PM

Jack Waymire: It is hard for me to believe a CPA/PFS with 10 years' planning experience is any less qualified compared with a CFP with the same amount of experience.

Opinion: Why NAPFA's CFP-only approach is a slap in the face of many financial advisors

In the alphabet soup of designations for advisors are many legitimate practitioners whom the association's new policy will shut out

December 21, 2012 – 3:41 AM

Peter Carnathan: For me, the movement in the direction of a boutique size firm is a very good fit, and it makes very good sense.

How a $2.7 billion LA-based RIA known for its referral-by-referral growth jumped on a chance to grab a Virginia Trust officer

Can an alum of mammoth Fiduciary Trust Company International with a book of business focused on young lawyers find happiness in a big mom and pop?

December 20, 2012 – 5:44 AM

Andrew Rogers: It's very hard to launch a large-cap-growth fund. That's not going to go anywhere when you're competing against Vanguard.

Gemini adds a whopping $5 billion in AUM in 2012 by helping RIAs start and expand mutual funds

The firm has minted 50 new funds this year alone, and they are proving catnip to advisors who want to limit volatility for their clients

December 19, 2012 – 4:16 AM

Jeff Spears: JMP's financial stake in Sanctuary played no part in the appointment of Johnson to the chairman post.

$2.5 billion roll-up-like entity in San Francisco brings aboard a chairman from its big investor

Montgomery Securities veteran Craig Johnson will help corral runaway wirehouse advisor dollars as the San Francisco firm seeks to build on an exponential leap in assets this year

December 18, 2012 – 4:26 AM

Elliot Weissbluth: Because we didn't need the money, we passed.

HighTower passes up $40 million capital raise, takes a big breather from deals and implements a pacing regimen

The Chicago-based gazelle may chase capital markets next year, but expect deals to resume in early 2013

December 17, 2012 – 4:39 PM

Shirl Penney: We're keeping the numbers small.

Dynasty Financial turns two, picks a new long-term goal and shows off $2 billion of SMA assets

The New York corner-office outsourcer guys leave plenty of room to grow but will never have Smith Barney numbers

December 17, 2012 – 3:55 PM

Victor Fetter will be the face of LPL's technological skunkworks in North Carolina

LPL poaches top Dell exec to rewire outsourcing and head hundreds in new technology 'town'

Victor Fetter is reporting directly to Mark Casady and will help hire 60 techies in the next 45 days

December 14, 2012 – 5:57 AM

Young bull in training: I simply can't stand to see Merrill's training program so naively misrepresented.

A Merrill Lynch trainee shares what it's really like to be part of the firm's revamped, more RIA-like training program

Following a scathing condemnation of the program in reaction to a recent story, another trainee chimes in with a more three-dimensional report

December 13, 2012 – 8:15 PM

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