Articles Published 10/2014


HeadlinePublish date

Betterment's bad-news play at getting in good with RIAs and investors

The NYC-based auto-advisor will flash tax ramifications at investors as they test drive trades

October 30, 2014 — 11:44 PM UTC

The second-largest 401(k) provider drops 'Great-West' for 'Empower'

The name chosen for the second-largest retirement firm hits a mark but may face the challenge of seeming jargony

October 30, 2014 — 6:44 PM UTC

Grand thoughts at the NYC Grand Central Hyatt from Fidelity Investments and RIAs

Part rally, part book launch, the Boston-based custodian rolled into NYC for the last gig of a whistle-stop tour

October 30, 2014 — 6:11 PM UTC

Can Schwab, six years late to the robo party, 'freeze the market', catch up and blow doors?

The potential is awesome but the San Francisco giant is currently generating PR for an offering that does not yet have a launch date

October 29, 2014 — 8:22 PM UTC

Wealthfront responds with force to Schwab CEO's robo announcement

The Silicon Valley-based auto-advice leader stokes its aura of invincibility by raising $64-million that it won't need anytime soon

October 28, 2014 — 7:49 PM UTC

'Paradigm shift' in 401(k) flows opens the DOL door for annuities in 401(k) plans and RIAs are split

In the wake of DOL and Treasury rulings, some fiduciaries, certainly not all, seem willing to give the oft-reviled instruments a chance

October 28, 2014 — 6:27 PM UTC

Barron's: David Zier's death takes another tragic twist

The Convergent executive's death was likely a suicide related to non-Convergent money managed for family and friends by Zier in a 'personal account'

October 25, 2014 — 9:58 PM UTC

The RIA business mourns the death of David Zier

The chief executive of Convergent Wealth Advisors was only 44

October 25, 2014 — 1:52 AM UTC

Charles Goldman rolls up a TAMP that handles clients with concentrated equity positions and 401(k) accounts

The AssetMark deal adds $1.7 billion and 600 advisor-clients

October 24, 2014 — 1:03 PM UTC

The backstory of how a Merrill UHNW team found love in the time of U-5 -- but not with an RIA

Recruiters are still a little baffled as to why the $2.5-billion firm skipped a chance to go independent with a 'compelling story' but chose the comfort of the familiar business model -- and an office of their own

October 23, 2014 — 6:53 PM UTC

LPL Financial shares hit rough patch on $18-million surprise as RIAs now represent the vast majority of the firm's business development

Wall Street dings the IBD for spiralling compliance costs but hybrid RIA assets are serious bright spot

October 23, 2014 — 3:44 AM UTC

Zero Alpha Group fraternity adds a sister to its elite $14-billion DFA RIA club

The esteemed study contingent tapped Trisa Summers, an elementary school teacher by training who now leads a $1.7-billion RIA

October 22, 2014 — 1:05 PM UTC

How Mariner Holdings is angling to become a $3-billion 401(k) company overnight by co-opting a local SageView office

The $40-billion RIA/asset manager plans to combine $2 billion from Randy Long's RIA to $1 billion of existing 401(k) assets

October 21, 2014 — 11:39 PM UTC

Schwab phones (at least some) Private Client customers to advise dumping PIMCO Total Return fund

Funds under Schwab discretion exited the Bill Gross fund three weeks ago

October 21, 2014 — 12:07 AM UTC

How Abby Johnson won the hearts of mega-RIA clients in advance of taking the CEO spot at Fidelity Investments

It wasn't what Ned Johnson's daughter said; she mostly let her ears do the talking

October 20, 2014 — 5:52 PM UTC

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