Articles Published 2/2013


HeadlinePublish date

This RIA recruited the Morgan Stanley manager who almost recruited him ...

... right after he grabbed a Fortigent CIO-type and hotshot Merrill advisor

February 28, 2013 — 3:50 PM UTC

What I learned from four failed attempts to find a successor for my $1.5-billion AUA RIA

Dennis Gibb finds that replacing himself after 40 years is no easy task -- and he may not try again

February 27, 2013 — 5:04 AM UTC

How exactly a sports super agency plans to use Dynasty Financial to extend its dominance to the RIA business

Octagon has 800 employees, Michael Phelps and the like as clients but it wealth management arm is not so major league, yet

February 26, 2013 — 4:43 PM UTC

The AICPA gets down with advisors in Vegas -- well, as much as accountants can

Michael Kitces, Roger Gibson, Harold Evensky and David Kelly were among the attendees of the rapidly growing conference -- and key tax changes got a close look

February 26, 2013 — 4:41 PM UTC

Addepar slashes prices, opens up its architecture and shows RIA custodians some love as it confronts market realities

Though these moves show the dynamo is not impervious to competition, Mike Paulus says that the growth is still nosebleed-threatening

February 25, 2013 — 4:52 AM UTC

How and why I'm starting an RIA from scratch and what I'm spending to make it happen

A former institutional bond broker and Navy lieutenant is now eight months into the RIA game. Here's what the view from the starting line looks like in 2013

February 22, 2013 — 4:28 PM UTC

Schwab garners $4 billion in index-only 401(k) assets fast out of the gate

Critics applaud the San Francisco broker's early success but wonder whether such a cost-focused approach is really enough

February 22, 2013 — 5:58 AM UTC

New RIA with familiar faces gets running start at putting advisors into the 401(k) driver's seat

Two financial entrepreneurs have 50 firms on board; the idea is for Pathway Strategic Advisors to take the fiduciary burden off of advisors who handle 401(k) assets for clients

February 21, 2013 — 5:42 PM UTC

Portfolio Pathway and $3-billion RIA-TAMP deepen an alliance that has Pershing at its core

The Illinois-based performance software maker got going from its founder Pershing's roots -- and now an embrace of Folio Dynamix by the clearing company is opening a new chapter

February 21, 2013 — 6:00 AM UTC

HighTower grabs sought-after $650 million Merrill Lynch 'life sciences' team and shrugs off recent deal slowdown

In the old money town of Philadelphia, the strategic buyer is 'planting a flag' and going after new wealth created in the biotech realm

February 20, 2013 — 5:58 PM UTC

9 ways RIAs can get a leg up by using a pillar of pension plans -- a written contract

Words and a handshake are well and good, but and IPS is forever, and your client will thank you for it

February 20, 2013 — 5:56 PM UTC

The Mutual Fund Store makes big moves: storming Manhattan, going big on Tamarac and quadrupling its disc jockey force

With John Bunch in charge and Warburg Pincus capital in the tank, the $7.4 billion RIA is making an honest effort at creating a national mass-affluent firm

February 19, 2013 — 5:13 PM UTC

Joe Duran hits The New York Times best-seller list with 'The Money Code' and is feeding his big RIA with the leads

The gist of the story: He was rich as hell at 34 years old after selling a company to GE and he realized it didn't solve much

February 18, 2013 — 9:50 PM UTC

How my experiences with RIA pioneers, and the love of my mother, inspired me to a different breakaway story

Jason Lahita had mentoring from Joe Duran, Ron Carson and Mindy Diamond but his mother's early onset dementia gave him the final nudge to take a risk

February 18, 2013 — 8:36 PM UTC

Riskalyze debuts website featuring 'worst' wirehouse portfolios to shock and attract clients

Horror stories abound -- like the 82-year-old widow who has 15% of her holdings in Apple stock and 9% in Facebook

February 15, 2013 — 6:14 AM UTC

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