Articles published 9/2012
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Not without criticism, TD Ameritrade opens an 'insurance agency' for RIAs that want to provide annuities
Schwab says it will also use more annuities to meet the swelling demand for retirement income but Jefferson National's CEO questions the custodians' focus on traditional annuities
September 28, 2012 – 4:19 PM
How Charles Goldman, Philip Palaveev, Brian Hamburger and Tim Oden -- and my cabbie -- caught my attention at MarketCounsel Summit
Tussles over scale, branding and professional service played out vividly in Vegas
September 28, 2012 – 4:17 PM
After three RIA division heads in five years, Nuveen looks to ex-Schwab star to shift into higher gear
The $211-billion Chicago giant is counting on Jeff Cusack to introduce an alternative investments flavor to spice up its more vanilla offerings
September 27, 2012 – 4:27 PM
Cerulli: RIAs and hybrid RIAs make giant advances on banks and wirehouses in the 401(k) race
DOL guidance is making a difference and so is bank and wirehouse reluctance to take on fiduciary risk
September 27, 2012 – 3:48 AM
How a $12 billion RIA grew to $20 billion in less than a year by raiding 401(k) accounts from legacy players
Randy Long boasted that he'd pick off the big boys' clients and came through with the help of a crack team of 12 young turks
September 26, 2012 – 3:48 AM
LPL Financial finds a starting place to bring Fortigent into its mainstream mix
The big broker-dealer will leverage the acquired firm's alternative-investments research and portfolio management with a new offering
September 26, 2012 – 3:29 AM
Eric Clarke delivers a behind-the-scenes account of his own Gemini & Orion Advisor Forum
The Orion chief was taken aback by overwhelmed advisors but found time for predawn runs, a pep talk from a legendary coach, a tour of the Cowboys' stadium and the launch of 80 apps
September 25, 2012 – 6:42 PM
What exactly the CEOs of HighTower, Focus Financial and Dynasty Financial revealed when they shared a stage in Las Vegas
Aggregator honchos appeared together under the unloved roll-up tag to highlight differing and evolving facets of their firms
September 25, 2012 – 4:49 AM
Ron Carson launches roll-up/TAMP-like venture with Envestnet, TD Ameritrade and Advizent as puzzle pieces
The biggest of LPL's affiliates shows a walk-before-run approach to inorganic growth
September 24, 2012 – 5:15 AM
Joe Duran lays out his latest case for why wirehouses -- and classic RIAs -- risk losing out to a coming oligopoly of new-model holistic firms
The coming 'life management' model won't be addressed by the big guys or the little ones in this very young industry, says the United Capital CEO
September 21, 2012 – 4:40 PM
Walt Bettinger strikes back to show that Charles Schwab won't be bested in the brewing ETF price war
The Schwab CEO says that moves are permanent and that ETFs are not a loss-leader for his firm
September 21, 2012 – 4:38 PM
Why the Yale endowment model has potentially calamitous pitfalls according to ... Yale itself
The endowment model's 20-year winning streak had consultants and asset managers imitating its high-risk strategies -- and then came the crash
September 21, 2012 – 4:28 AM
RIAs join move to right a 401(k) wrong: Lopsided plan expenses -- a non-DOL issue
Participants using mutual funds with active management pay for their passively managed brethren; with fiduciary issues being taken for real, this is a problem
September 20, 2012 – 5:01 AM
Dynasty clinches an ex-U.S. Trust advisor's trust by playing its U.S. Trust card
Doug Pyle and Radnor Capital were absorbed by the firm back in 1999 and now they're finding footing in independence again
September 20, 2012 – 4:58 AM
Dynasty Financial hires a heavy-hitting lawyer to oversee a sea of contracts
A former Barclays and Lehman gun, Jonathan Morris will handle the myriad of deals the platform provider forms with vendors and advisors alike
