Articles published 8/2012
Headline
Publish date
'Ocean's Eleven'-grade RIA sharpies set to play Vegas at MarketCounsel's 2012 Summit
A remarkably varied lineup of industry A-listers are odds-on to spark lively conversation at the compliance confab
August 31, 2012 – 5:19 AM
Unlike politicians, advisors can't walk back false claims
It may be flip-flopping season on the campaign trail but RIAs must be careful to stick to one regulatory story
August 31, 2012 – 5:10 AM
Two top Fortigent talents leave in the same week as industry-watchers ask: Was it them or was it LPL?
The LPL-owned investments outsourcer may not replace CIO Nathan Sonnenberg and alternative investments director Robert Mileff
August 30, 2012 – 4:59 AM
Not everyone has to make rain: Mariner brings over former LPL advisor who'd rather stay indoors and give advice
HSMC Wealth Management and its $40 million in assets is one of Mariner's smaller acquisitions of late as it looks to make smart, strategic buys
August 29, 2012 – 4:20 AM
LPL showcases some successful, ambitious advisors as the FOCUS 2012 conference wraps up
'King of the world' James Cameron was on hand to talk about the risk of not taking risks and an ex-IMF economist confirmed that there are plenty to go around
August 29, 2012 – 4:12 AM
Obfuscation Nation: 401(k) fee disclosure laws still don't give the true cost of plans and may well cause more agita for would-be retirees
The new DOL rules are far from ideal but may give fee-based advisors an edge in the small-plan market
August 28, 2012 – 4:37 PM
A 401(k) plan dethroning deferred: The DOL-mandated disclosures may not set any legacy palaces on fire near-term
The expected RIA field day and B-D comeuppance may come limping out of the gate; Fidelity has put 17 million 401(k) disclosures in the mail with few follks batting an eye -- with high-balance participants as the possible big exception
August 28, 2012 – 3:33 AM
Before taking a self-imposed vow of silence, Ron Rhoades sounds off on the RIA industry and tells what's it's like to hit a professional wall
The outspoken NAPFA chairman-who-wasn't covers why the Bachus bill will rise again, the true fix for RIA exams and why the term 'fee-based' is inherently 'fraudulent'
August 27, 2012 – 3:33 AM
After a year under wraps, Laser App unveils a new "anywhere" product at its sixth annual conference in San Diego
Laser App Anywhere is, from its cloud, fundamentally different from the company's legacy desktop, server-based software products
August 27, 2012 – 3:29 AM
Why Bachus' SRO-that-must-not-be-named would prove a tyrant to RIAs
The author says that as a private corporation endowed with governmental powers, FINRA is unsafe at any speed
August 24, 2012 – 4:02 PM
After bringing in $500 million in first year, breakaway Lockwood execs set sights on bigger growth
Palladiem is now investing in a big sales talent to reap previously unsolicited clients
August 24, 2012 – 4:56 AM
State of Florida gives low sanction to Ron Rhoades
Mitigating factors are cited by the Division of Securities and the resigning NAPFA chair expresses appreciation
August 23, 2012 – 10:03 PM
TD, Fidelity and Schwab get green light to custody assets of advisors who use National Advisors Trust
Fido and TD Ameritrade are on board with the RIA-owned custodian and trust company but Schwab is still weighing its options
August 23, 2012 – 3:37 AM
Evercore makes a wealth management hire from Goldman Sachs who's fluent in investment banking
The big $3.6-billion NYC RIA is looking to get cooler, smarter and more in touch with the entity that owns a major chunk of it
August 23, 2012 – 3:20 AM
How a young, new HighTower recruit built his business to $1 billion in assets with just 30 clients
Matt Dillig's team is the Chicago aggregator's first 'get' from Credit Suisse, known for its superwealthy clients
