Articles Published 3/2014


HeadlinePublish date

How one 'robo-advisor' got $25 billion on its platform with a Mint.com mindset, 401(k) friendliness, a merger and 16 years of work

NextCapital has deals with Barron's, Dow Jones and Russell Investments as part of a brick-by-brick history in a put-up-your-robo-shingle world

March 31, 2014 — 4:53 PM UTC

What exactly lured a sparkling Morgan Stanley advisor and $1.2 billion to a retreaded brand name attached to a fledgling RIA

Carrie Gallaway and partner Andrew Stern got no signing bonus but the Lebenthal brand, and what Frank Campanale is building with Fortigent, Envestnet and BNY Mellon, attracted them

March 28, 2014 — 4:38 AM UTC

Fidelity's old 401(k) mastermind, Bob Reynolds, gets a merger, a promotion and a stronger hand to compete with his old employer

With Great West and Putnam joining 401(k) units, there may be a dividend of critical mass and synergy

March 27, 2014 — 3:24 AM UTC

5 thoughts about how to actually do what RIA experts say to do

Consultants like to believe we were born to write elevator speeches, define our niche and write a succession plan on demand

March 26, 2014 — 6:26 AM UTC

Orion Advisor Services inks licensing deal to close the rebalancing gap with Tamarac and Black Diamond

Eric Clarke makes Total Rebalance Expert one with his portfolio accounting software to assuage CPAs and other tax-minded advisors

March 25, 2014 — 1:30 PM UTC

Eavesdropping on the Barron's Top Independent Advisor Summit and appreciating its vibe

There was the usual fertile atmosphere for advisor-on-advisor chats and some impatience with RIA custodial heads' bloviations

March 25, 2014 — 3:34 AM UTC

The face of Addepar leaves the company amid intrigue about just where it stands with the RIA market

Mike Paulus was company president during its formative time and exemplified its faith in youth

March 24, 2014 — 3:33 AM UTC

Why I use target date funds for some 401(k) clients in my RIA but with exaggerated scrutiny and care

The set-and-forget products have enormous potential for good but may also be a fiduciary nightmare

March 21, 2014 — 4:29 PM UTC

Fidelity Investments wins huge in the 'biggest 401(k) case in decades' -- but bearing battle scars

Boston 401(k) giant is able to reverse prior judgement related to fees in landmark Tussey v. ABB

March 20, 2014 — 7:07 AM UTC

After a brief mini-Schwab era, Trust Company of America gets back to non-conformity and success

New CEO David Barry is concentrating on making fast-growing TAMPs-to-IARs grow even faster

March 19, 2014 — 5:16 AM UTC

United Capital drops a six-figure check on 10 partner firms in share buyback program financed by SageView

Joe Duran's company is belatedly paying fully vested firms for up to 25% of their stock after the 2008 crash threw off the promised liquidity schedule

March 18, 2014 — 5:27 PM UTC

How Envestnet is taking its stranglehold on money-managers-to-IBD reps distribution to a much wider channel base of financial advisors

The Chicago-based giant will use standards, critical mass, manager relations, folio technology and a special MMI blessing to cut costs and hassles in a way that shift the cost paradigm

March 17, 2014 — 6:40 AM UTC

Elliot Weissbluth pooh-poohs the idea that HighTower faces channel conflict as 'stupid and uninformed'

The roll-up has added franchise- and outsource-type channels in the wake of a capital raise that failed to materialize

March 14, 2014 — 5:59 AM UTC

VC firm installs one of its own, a Lehman Bros. legend, to get Altegris in gear

After months of searching on behalf of Aquiline, Jack L. Rivkin decided to nominate himself

March 13, 2014 — 3:53 AM UTC

Phyllis Borzi tightens the noose on 401(k) providers that flout DOL disclosure, not without critics

The idea is to have a de facto big red arrow pointing to key disclosures on revenue sharing but it'll add to the verbiage surplus

March 11, 2014 — 9:04 PM UTC

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