Articles Published 4/2012


HeadlinePublish date

John Furey is creating a think-tank out of six big RIAs that want to grow like roll-ups without the pressures of an IPO

The Alliance for RIAs includes Savant Capital, Carson Wealth, Beacon Pointe, Stratos and Highline

April 30, 2012 — 12:56 PM UTC

Christopher Street Financial's president becomes the 'Talk of the Town'

The New Yorker magazine article capped a banner week for the head of an advisory practice that caters to the gay community

April 30, 2012 — 4:15 AM UTC

Finance Logix makes a splashy bid for RIA business with its inaugural conference in Las Vegas

The coming of Windows 8, the cloud, the massive adoption of mobile technology and tools for retirement income planning were hot topics at the Sin City confab

April 30, 2012 — 4:06 AM UTC

Walt Bettinger explains to Wall Street why some prospects are balking at investing in Schwab franchises

The Schwab CEO tells listeners of the interim update that the $10 million asset-gathering quota is a psychological hurdle -- but one that can be overcome

April 27, 2012 — 3:01 PM UTC

How an ex-University of Chicago endowment chief is teaming up with a $4-billion AUM RIA to go after $500-million institutional accounts

Sharing resources with the Presidio Group, Peter Stein will lead a charge to provide customized outsourced CIO services to small and midsize foundations and endowments

April 27, 2012 — 6:10 AM UTC

How Frank Campanale's E.F. Hutton resurrection, a TD management hire and upbeat advisors electrified IMCA's annual conference

More than 1,500 advisors came to the Potomac -- including more than a few of Campanale's Smith Barney Consulting alumni

April 26, 2012 — 5:40 AM UTC

Avoiding FINRA oversight may depend on talking sense to an options-trading House Republican

Spencer Bachus, known to expertly trade options for his own account, seems to be down with what transactions-based advisors like

April 26, 2012 — 5:37 AM UTC

Why a pair of Zero Alpha RIAs are combining and out-and-out avoiding roll-ups and private-equity money

Savant Capital and Monitor Group will have a combined $2.7 billion of AUM and hot prospects for gobbling up more firms

April 25, 2012 — 2:58 PM UTC

TD Ameritrade poaches 'bowled over' Morgan Stanley Private Bank exec to fill key role

Christine Gaze has picked up best practices secrets in the full-service world that she's now taking to TD RIAs

April 25, 2012 — 4:41 AM UTC

Stephanie Bogan: Put me in, I'm ready to play

The CEO of Quantuvis is leaving the Genworth unit and actively seeks an executive position with a yet-to-be-determined hot RIA venture -- after a Caribbean sabbatical

April 25, 2012 — 12:01 AM UTC

What the reincarnation of E.F. Hutton says about the pace at which RIA business is moving

It's the latest in a series of recent ventures marked by infectious enthusiasm by founders -- and few details about their business plans

April 24, 2012 — 6:18 AM UTC

How Gerald Graves grounded a high-flying career trajectory to get back to basics -- with a 6-foot-11 former NBA player at his side

After top executive spots at Schwab Institutional and M Financial, Graves started Filagree Advisors from scratch and is careful to avoid 'scope creep'

April 24, 2012 — 6:17 AM UTC

How RIAs like Aspiriant and United Capital are working to put financial planning back at the center of financial planning firms

It's expensive, hard work, hard to charge for, difficult to deliver and adds real value

April 23, 2012 — 4:00 AM UTC

After a short engagement, Gus Fleites splits from his CEO spot with an Oregon 401(k) platform provider

Invest n Retire is shifting to pouring resources into technology right now after looking at a sales buildup that Fleites was expected to facilitate

April 23, 2012 — 3:46 AM UTC

DFA takes on life cycle funds by putting an alternative offering in the hands of 401(k)-minded advisors

Managed DC is the first in a series of such products, hints David Booth, but a critic says the premise on which they're built is all wrong

April 20, 2012 — 5:50 AM UTC

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