Articles published 1/2013
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Publish date
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
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
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
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 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
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
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
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
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 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
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
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
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
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
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
