Articles published 10/2014
Headline
Publish 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
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
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
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
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
'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
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
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
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
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
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
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
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
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
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
