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Articles published 2/2012


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Roger Hewins: We're all pretty upset about it.

Two accounting firms abandon merger talks leaving giant Schwab RIA surprised and crestfallen

Wipfli and Eide Bailly suddenly quit the field leaving industry observers -- not to mention Hewins Financial -- wondering why

February 29, 2012 – 5:17 AM

Mike Harger: What we’re hearing is, 'We like your commitment to the marketplace.'

Fidelity reports 57% boost in 401(k) sales as it sets its sights on smaller plans and advisors

Heading downmarket, the Boston-based firm is trying to muscle in on boutique providers

February 29, 2012 – 5:00 AM

Tim Oden: If this doesn't get you motivated to make calls every morning then you need to check your pulse.

Fed up wirehouse advisors more eager to leave than ever, study says

A whopping three out of four advisors would take a call from an RIA recruiter, the Schwab study shows -- but what then?

February 28, 2012 – 4:01 PM

Ryan McDermott: It's a proven business model, highly, highly validated. I get to work within that.

Why a $6 billion New York RIA is finally making its California debut

The partners of BBR found a fellow Goldman Sachs alum they could trust 3,000 miles away

February 28, 2012 – 5:09 AM

Franklin Tsung: It is a messy business and not for the meek.

How AppCrown got a big RIA footprint overnight by handling Salesforce implementations

TD and Fidelity are in with both feet but some are taking a wait-and-see attitude

February 27, 2012 – 5:02 AM

Andrew Arenberg: Our goal is to build Russell 1.0, not iShares 2.0.

How Russell is faring since joining the competitive ETF party with an all-star ex-Barclays crew

The team is offering two dozen enhanced ETF offerings, hoping to gain traction with advisors in an increasingly competitive market

February 27, 2012 – 5:01 AM

Mike Bindas: We're very impressed on how they kept it together.

Securities America shifts back on offense as it wins a $350 million advisory firm from Investment Centers of America

After weathering scandal and sale, the Omaha, Neb. firm has signed on Great Plains Financial, a hybrid advisory with an eye toward growth

February 24, 2012 – 4:24 PM

Rob Isbitts: Options typically require far less capital than inverse ETFs used to hedge.

4 reasons to use options -- and 4 more reasons why you should think twice

Options can smooth the bumps inherent in longterm investing but expect to take some time educating your clients about them

February 24, 2012 – 4:17 PM

Leo Kelly: I say to my clients: This is going to be a household name.

HighTower wins a $700 million Merrill Lynch advisor in Maryland horse country and wrests an LA-based IAR from an RIA

The Chicago consolidator's transitions teams had a brutally busy Presidents' weekend bringing aboard teams on both coasts simultaneously, from Merrill and The Presidio Group

February 23, 2012 – 4:19 AM

Ed O'Brien says CRM is an appropriate hub for an advisor system of technology under certain circumstances.

As WealthCentral surpasses 2,000 users, Ed O'Brien responds to questions about Fidelity's technology system at T3

The head of Fidelity's RIA tech efforts says that the technology is a good fit for breakaways

February 23, 2012 – 4:03 AM

Brad Stratton: I realized that [Merrill Lynch] was going in a different direction.

Veteran Merrill Lynch manager leaves seven registrations on the table to return to his pure-RIA roots

Fed up with BofA and faced with a choice between managing advisors and being one, Brad Stratton moves to CONCERT

February 22, 2012 – 4:08 AM

Les Abromovitz: The SEC and state securities regulators want to prove they are aggressively overseeing RIAs.

Lost in limbo: How and why compliance officers can seem to thwart RIA marketing efforts

CCOs have valid reasons for poring over the content of any proposed articles coming from their firm -- but they owe you a quick response

February 22, 2012 – 3:52 AM

Bill Crager: I think advisors are going to want something more end to end...we think that's going to be a competitive difference.

Can the new Envestnet-Tamarac Godzilla take on the Advent-Black Diamond King Kong?

Tamarac has trusted relationships with several hundred RIA firms who might like outsourced investments on their dashboard

February 21, 2012 – 6:27 AM

Joel Bruckenstein (with David Drucker): It is the only time during the year that all of the technology vendors to the industry are gathered in one place.

RIAs flock to Dallas for the T3 technology conference

The seventh annual gathering drew 500 advisors, execs, software vendors and custodians with integrations, mobile apps and clouds on their minds

February 21, 2012 – 6:17 AM

Philip Palaveev: The more icy and snowy the road the less you want to hit the accelerator or the brake.

Best advice for 2012: Risk being a bit boring and focus on the organic growth of your practice

Growth from within is a challenge across all channels and needs to be addressed

February 20, 2012 – 7:03 AM

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