Articles published 3/2014
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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 at 4:53 PM
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 at 4:38 AM
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 at 3:24 AM
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 at 6:26 AM
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 at 1:30 PM
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 at 3:34 AM
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 at 3:33 AM
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 at 4:29 PM
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 at 7:07 AM
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 at 5:16 AM
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 at 5:27 PM
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 at 6:40 AM
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 at 5:59 AM
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 at 3:53 AM
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 at 9:04 PM
Adam Antoniades names Matt McGinness as his replacement as CEO of First Allied's $4-billion RIA-TAMP to launch new business line
Long an RIA researcher at Cerulli and LPL, McGinness makes a big leap to turn the company's internal corporate RIA into an outward-facing TAMP
March 11, 2014 at 1:23 AM
Advisor as auteur: How to put a 'video selfie' front and center on your homepage using the film studio in your back pocket
You don't need Scorcese-level skills to make your first video -- just a smart phone or the webcam in your laptop and the willingness to try
March 10, 2014 at 11:43 PM
Is Merrill Lynch taking its more RIA-like training program another step forward with Racquel Oden's promotion?
The new head of training breaks stereotypes and may break new ground for the industry -- or not
March 10, 2014 at 1:31 AM
Bankers show muted confidence in competing with RIAs, Fidelity study shows
The projections from the most optimistic set of bankers predicts sub-5% growth annually, even on steep part of growth curve
March 6, 2014 at 9:32 PM
LPL is taking its elite RIAs and other top producers to Monte Carlo in out-of-beribboned-box move
The broker-dealer's record first time sign-ups show the European haven strikes a chord with Orlando-weary advisors
March 5, 2014 at 9:54 PM
Strategic philanthropy: Exactly how to bequeath your values -- not taxes -- to the next generation
A case study illustrates how charitable impact and tax relief for family members are not mutually exclusive -- and may point the way to keep heirs on the true altruistic path
March 5, 2014 at 6:54 PM
Loving Merrill but leaving Merrill, two 38-year olds and an 'old guy' take $700 million of assets to an RIA citing the model's better mousetrap
The three advisors found they had less and less in common with other Merrill advisors in the Portland, Ore. office
March 4, 2014 at 8:30 PM
PCR singles out Advent/Black Diamond for reverse predatory pricing in bid to move further downmarket
The Wilton, Conn. white-shoe software firm wants to underscore its ultra-coddling that won private banks
