Articles Published 7/2012


HeadlinePublish date

Advizent makes Jack Bogle its standards czar, a no-pay, no-conflict position

The RIA brand will depend on a gold standard of rules and audits

July 31, 2012 — 11:30 AM UTC

An expert updates 7 matters related to the estate tax

2012 looms large for change

July 31, 2012 — 3:25 AM UTC

How two RIAs succeed by using only Fidelity funds -- but not without weathering criticism about closing their own architecture

The heads of Weber Asset Management are unfazed by peers and analysts who says they are taking brand loyalty too far

July 30, 2012 — 4:12 AM UTC

The 30-day alternative assets challenge: Finding the right successor custodian

Deftly remediating alternative assets held in retirement accounts can strengthen the client-advisor bond and avoid a dreaded 'taxable event'

July 27, 2012 — 4:22 PM UTC

Even as mired markets stalled Q2 merger deals, private-equity-fueled national acquirers revved up prices

Only eight M&A deals were inked in the second quarter according to Schwab Advisor Services but what there was, was 'cherce'

July 27, 2012 — 4:22 PM UTC

Why an ESPN sportscaster and comedian turned in his blazer to join a Los Angeles RIA -- and why the firm took a chance on him

In what may be an industry trend, L&S advisors is betting on a career-changer with more to offer than experience

July 26, 2012 — 4:01 AM UTC

Ex-RIA chief: 'How I learned more in a month as a client than in 20 years as CEO'

Aspiriant's Tim Kochis and his wife experienced firsthand the upsides and downsides of being paying clients

July 25, 2012 — 3:14 AM UTC

Dynasty Financial recruits another field general from the Citi-Smith Barney army

John Sullivan will do some of the heavy lifting from Chicago on advisor service and be a subject matter expert for lending

July 25, 2012 — 3:05 AM UTC

How HighTower brought an 83-year-old, $600-million breakaway broker back from the wirehouse side

After Eugene Lerner moved his RIA to Morgan Stanley Smith Barney, HighTower lured the former pupil of Milton Friedman and professor of Alan Greenspan back to the RIA world

July 24, 2012 — 4:55 AM UTC

Why the San Francisco Bay area is almost certainly the capitol of the RIA business

Companies like Schwab, Advent-Black Diamond and Salesforce are based here for starters -- but big wealth managers and lots of open-minded rich people clinch the matter

July 23, 2012 — 3:31 AM UTC

A cottage industry of hedge funds-to-RIAs is springing up but so far the mutual fund industry looks like the big winner

It's a minor gold rush, but the entrepreneurs jumping into the niche are quick to identify the frailties in each other's approaches

July 20, 2012 — 4:28 AM UTC

Mag Black-Scott plans for an LA-based 'mini-Morgan Stanley' advance with the hire of a R.W. Baird team to handle public agency assets

Andy Fass, formerly a Morgan stanley exec, joins Beverly Hills Wealth Management as western division marketing director and half of new group aimed at big assets with small profit margins

July 19, 2012 — 6:00 AM UTC

National Financial Partners buys longtime partner Fusion signaling a shift away from the 'roll-up' model

The New York-based agglomeration of financial businesses is looking to inject higher levels of intelligence, best practices and culture by bringing the services of Fusion in-house

July 18, 2012 — 4:01 AM UTC

What RIA principals in the Focus Financial family have to say about a rumored deal for the consolidator

Buckingham/BAM, The Colony Group and LLBH leaders see it as business as usual that Summit would want to roll over ownership of its stake

July 17, 2012 — 3:54 PM UTC

Older investors' complaints deserve -- and receive -- special scrutiny from regulators

Examiners give seniors the benefit of the doubt in a complaint, making it imperative to keep meticulous records focusing on not just the 'what' but the 'why' of investment decisions

July 17, 2012 — 3:53 PM UTC

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