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Articles published 1/2013


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Ben Welch: We are bridging that gap.

TD Ameritrade will make iRebal software available free to all its RIA clients

The custodian may disrupt both the RIA technology and RIA custody businesses -- but not inexpensively

January 31, 2013 – 7:51 PM

Bill Winterberg seems to have set off a social media ruckus with a timely tweet.

Audience remark at Andy Gluck's session at TD Ameritrade pre-event session sets off a tweet chorus

A college student needed two hours to break into an RIA's files and it took only minutes for Twitterati to pass the story along at TD

January 31, 2013 – 4:59 PM

Peter Tamposi: If you believe what they say, he lied and stole money. They tried to make it look sensational.

How an RIA got in hot water in New Hampshire and why RedBlack is being touched by an ensuing bankruptcy

Nicholas B. Rowe was a founding investor in the rebalancing software maker and regulators are chasing down every asset he has

January 30, 2013 – 5:18 PM

Abby Salameh: I could see the vast ocean below. We were descending quickly towards it.

Why my financial advisor came to mind (seriously) as my airplane was plummeting toward the ocean

White light can wait: When death is at hand, you get in touch with your inner actuary

January 29, 2013 – 9:46 PM

Tim Whiting: I jumped at the chance.

Tim Whiting leaves SourceMedia to join Julie Littlechild in her growing venture

Advisor Impact will begin marketing its service to enterprises, not just the advisors who use them

January 29, 2013 – 9:43 PM

Jon Beatty says many advisors are still more fixated on tending to nervous clients than doing deals.

The RIA M&A market stumbled in 2012, but giants were not deterred, Schwab end-of-year data shows

M&A activity still sickly slow by some reckonings, but harbingers of mating activity abound

January 28, 2013 – 4:34 PM

Jack Waymire: A high percentage of investors, in particular investors with larger asset amounts, believe bigger is better.

The SEC needs to clean up its semantics before accusing RIAs of inflating AUM

Advisors stretching for the $100-million mark advisors need to be told what assets to count and which ones are merely hanging out

January 28, 2013 – 4:39 AM

Peter Raimondi and Scott Dell'Orfano are building on a relationship forged as client and custodian exec in Boston.

Scott Dell'Orfano lands at a $1.4 billion RIA with plans to deal its way to $10 billion

The ex-Fidelity RIA exec will oversee the spending of private-equity capital on behalf of Peter Raimondi's burgeoning RIA

January 25, 2013 – 3:24 AM

Haley Rockwell: It didn't make sense to structure it as an acquisition, because I want to grow with the business.

How three small firms backed with big-time M&A muscle brought in $450 million with strategic buys

There are vivid back stories behind each Focus-owned firm's deal; taken together they could show the way forward for the aggregator model

January 24, 2013 – 8:04 PM

Philip Palaveev: We really want to increase the number of participants.

Philip Palaveev will help oversee effort to solve big IN-Moss Adams comp study problem -- a survey that can take a day to complete

With Kelli Cruz out the door, the ex-Moss Adams star is stepping in with plans to get the survey down to a one-hour task

January 24, 2013 – 7:46 PM

Maury Fertig: When it came to their personal investments, they were bad as everyone else.

How a Chicago RIA grew to more than $700 million by carving out a client niche of wirehouse execs

Two Salomon Brothers alums gained the trust of masters of the universe who have seen how the sausage is made yet still make rookie investing blunders

January 23, 2013 – 3:50 AM

All roads led to Silicon Valley as technology firms serving the financial advisory industry found their groove.

Top 12 crucial technology happenings affecting RIAs in 2012, Part 2

Silicon Valley woke up to the potential RIA business, a phenomenon perhaps best embodied by the meteoric rise of one youth-fueled venture -- and our No. 1 pick on this list

January 22, 2013 – 4:15 AM

Roger Hewins:We don't use them. We don't even look at them.

Why Schwab handed Facebook and Apple 'F' ratings -- and why advisors seem unfazed

Clients may be perturbed by the flunking grades meted out to the popular Silicon Valley firms even as some RIAs discount the data as 'backward-looking'

January 21, 2013 – 2:53 AM

Bernie Clark with Paul Merage Scbool of Business dean Andy Policano: 'Schwab is thrilled to be supporting academic institutions to cultivate highly skilled future business leaders'.

Schwab nonprofit ponies up $500K for simulated securities floor to give prospective advisors hands-on experience

Cozying up to academic institutions has both a charitable and a shrewd side; Zero Alpha Group also launches an education project

January 18, 2013 – 4:28 AM

At Salesforce headquarters, they may or may not know an RIA from an IRA, but the company still solidified the exalted position of potential industry standard bearer.

12 key events of 2012 that rocked the RIA technology landscape, Part 1

Salesforce become the industry elephant, FinFolio emerges as a player, Pershing's NetX360-whisperer gets kicked upstairs, the Weatlhcare lawsuit gets an outcome, and more

January 17, 2013 – 7:30 AM

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