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Articles published 7/2014


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Dan Sontag: I met with Rudy Adolf several times ... and I was suitably impressed.

Dan Sontag surfaces as new cog in Focus Financial machine for taking down wirehouse advisors

After laying low for five years, the passed-over Merrill heir apparent will help advise Chis Dupuy in budding 'Connections' program

July 31, 2014 – 6:17 PM

Ray Lucia Jr.: We have a profound respect for my father ... his regulatory challenges are his and his alone.

Derek Bruton joins forces with Ray Lucia Jr. in San Diego to execute national RIA hybrid plan

The ex-LPL exec saw no issue at all joining the eponymous son of the radio host barred by the SEC

July 31, 2014 – 2:08 PM

Jeffrey Fratarcangeli is the dream FiNet recruit -- big assets from a big rival.

The perplexing case of Wells Fargo's non-wirehouse advisors: A blueprint for Merrill, UBS and Morgan or a cheap lesson in what not to do

The good news is that FiNet is the fastest growing channel at Wells Fargo; the bad news is that its brand and compliance can be hindrances

July 29, 2014 – 9:14 PM

Fred Tomczyk: Some of our peers will catch up with that ... probably all of them will redesign their technology to make sure they meet that competitive advantage that we've had.

How TD Ameritrade's patient, patient bet on RIAs is finally paying off

CEO Fred Tomczyk is talking advisor software like he might have previously discussed trade volume as RIA assets, and prospects, soar

July 28, 2014 – 9:22 PM

Bernie Clark: We're going to rewrite the whole portfolio management tool.

Bernie Clark promises Schwab is getting there on its PortfolioCenter rewrite but competitors say the clock is ticking

Rivals cite lingering challenges for the ubiquitous software but its custody platform tie-in is a difference-maker, Joel Bruckenstein says

July 25, 2014 – 11:36 PM

Walter Bettinger: We are fast at work.

What's up with Schwab getting into the robo-style online advice business and is Windhaven the linchpin?

Walt Bettinger's options for building using existing ETF portfolio capabilities or buying one of the many robos in existence point to a no-lose move

July 25, 2014 – 11:15 PM

Marilyn Mohrman-Gillis: Quite frankly, what we're spending is less than half a percent of all financial services' expenditures.

How the CFP Board is getting its $40 million's worth from its advertising campaign and how it isn't

Unaided recognition of CFP certification jumps about 90% in three years ...assets stemming from that, not so much

July 24, 2014 – 9:55 PM

Richard Hough: The company had a plan of going public from day one.

How a classic $16.2 billion RIA pulled off an IPO after a few speedbumps and why the decision is looking good

Shares of Silvercrest Asset Management are up about 40% and Wall Street analysts are proferring praise

July 24, 2014 – 4:44 PM

Rich Gill is bringing his analytical and personal skills to AMG's effort to replicate its asset mangement success on the RIA side.

Why AMG's poach of Rich Gill could be the missing ingredient for its V-8 roll-up engine

Loaded with cash, experience and $11.5 billion of market cap, the North Shore asset manager just downloaded the RIA roll-up app in hiring the Focus Financial veteran

July 22, 2014 – 6:48 PM

Karen White: We're winning customers from Advent, Black Diamond every quarter.

Addepar has two new 'grown-up' leaders but the same mantra: double down, triple down then quadruple down on engineering

The almost unfathomable Silicon Valley investment being poured into creating wealth management software a catch-up move after decades of falling behind

July 21, 2014 – 7:59 PM

Spencer Bachus: The important thing is to have a better system to stop potential fraud.

Spencer Bachus's amazing turnabout from RIA villain to white knight and the miserable state of Dodd Frank's advancement of fiduciary care

Once presumed to be in FINRA's back pocket, the Alabama congressman co-sponsors H.R. 1627 -- a huge boon to SEC oversight of RIAs

July 21, 2014 – 3:40 AM

Walter Bettinger: With the right full-service model for serving today’s investors, we are driving sustained momentum in our business.

8 takeaways from Schwab's earnings report and commentary including: We are 'full-service', dammit

The San Francisco-based company is upping its rhetoric relating to its bid to bring higher-level investment counsel to high net worth investors

July 18, 2014 – 7:49 PM

Skip Schweiss in front of the Nevada Falls: The plan was to go out in waves .... We almost needed an algorithm to figure it all out.

How a band of advisor-execs scaled 5,000 sunless feet to the summit of the Half Dome -- and the lessons the exploit yields for growing RIAs

Advisors donned headlamps, assuming considerable risk effecting the nighttime ascent in Yosemite -- including an encounter with a mama bear

July 18, 2014 – 3:05 PM

Jim Herbert: The answer is yes, a little bit.

The hornet's nest that a $25.9-billion AUM RIA owner stepped on and how much it cost

Ex-Merrill Lynch-owned First Republic and buyer of Luminous Capital underestimated the burdens of Dodd-Frank -- and the tolerance of Wall Street analysts

July 17, 2014 – 6:21 PM

Clayton G. Deutsch: If you know Peter Raimondi, you know we're not going to sit on cruise control.

As Boston Private and Banyan Partners merge, the Big Three roll-ups become the Big Four

Banyan's Peter Raimondi will lead the combined entity that could morph into a fearsome acquirer

July 17, 2014 – 4:23 AM

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