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Articles published 9/2014


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Eric Jacobsen: The fund's bronze Morningstar analyst rating reflects [our] high level of confidence in PIMCO's resources and overall abilities but also the uncertainty as to exactly how all thee parts will mesh in the wake of Gross's departure.
September 30, 2014 – 4:27 AM

Kyle Ryan:  Everyone looks at headlines and says they're small and everyone was small once.

The steps Personal Capital is taking to win bigger accounts after a year of 100% growth and 95% of them small fish

This call center advisor is handing out free iPads to its wealthiest clients along with bulk pricing and concierge services that include two human advisors per family

September 29, 2014 – 6:05 AM

RIAs got their first direct splash of Gross's eccentric behavior at Morningstar's Investors Conference in June.

The real Bill Gross story with big help from the Wall Street Journal's reporting (Hint: The signs were there)

The humbled Bond King goes to an equity shop with a shove from PIMCO, a DoubleLine query and diminished options, WSJ reports

September 26, 2014 – 8:47 PM

April Rudin: In one instance a client realized how important his LinkedIn profile could be after a journalist cherry-picked facts from it for an article about his firm after he'd offered a 'no comment.'

Dissecting the pathology of UHNW wealth managers who want brand building without marketing

Iconoclastic, clubby and referral-oriented ways still attract the ultra-rich -- but a sleek LinkedIn page might be what Gens X, Y, millennials and hip boomers demand

September 26, 2014 – 6:22 AM

Mike Golaszewski: Since most of the Internet is exposed to this bug, your information could potentially leak in unexpected ways.

How RIAs should digest warnings about 'Shell Shock' and its lethal threat to all things Linux

On a scale of one to 10 the just-disclosed computer 'exploit' is a 10 because Linux is what the cloud lives by

September 25, 2014 – 10:44 PM

Bill Dwyer: When I met Nick it reminded me of a similar presence ...(Todd Robinson). Lightning strikes twice.

What exactly enticed Bill Dwyer out of retirement to work on the other side

The former LPL leader takes a spot vacated by Larry Roth at RCS Capital that involves selling to advisors

September 25, 2014 – 1:57 AM

What FPA's chief sponsor MetLife pays isn't peanuts but Snoopy is.

An advertiser's-eye view of what the new-look FPA looked like in Seattle

The Denver-based association showed signs of diminished draw but mostly offset by a stunning presence of youth and start-up exhibitors

September 24, 2014 – 8:49 PM

Jeff Ramseyer: My joining Addepar signals the company's successful growth trajectory, not a shift in strategy.

Addepar hires in the direction of revenues -- and maybe even an IPO

The mature start-up adds an ex-Advent sales chief a year after hiring a CFO with a nose for initial public offerings

September 23, 2014 – 7:57 PM

Adam Nash [with Andy Rachleff]: Wealthfront automatically ensures that every withdrawal minimizes the taxes owed and keeps your portfolio balanced.

Wealthfront's advice is now an employee benefit for Google employees' non-401(k) savings

Employees at the search giant with less than $100,000 get their balances managed for free -- as do employees of the San Francisco 49ers and Palantir

September 23, 2014 – 2:56 AM

Stephen Brown writes: We advise several CEO's and CFO's of Fortune 500 companies, as well as some professional sports teams.

How Merrill Lynch's divorce of its own $2.5-billion team shows just how fed up the wirehouse is with RIA-bound breakaways

The sudden pick-up in these seemingly self-defeating dismissals by Wall Street firms suggest new vigilance against gradual breakaways

September 22, 2014 – 5:48 AM

Jack Waymire: Our cause for concern was the number of advisors who did not appear to have accessible compliance records.

Can advisors keep their dirty compliance laundry in the closet thanks to lack of NASAA, SEC and FINRA coordination?

Mostly not but Jack Waymire and Brian Hamburger flesh out the issue with the right questions and answers

September 19, 2014 – 5:39 PM

Cup holders, like robo-capability, matter whether or not they should.

How the new RIA competition is akin to the cup-holder dilemma for automakers

Many robo-innovations are superficial but are nonetheless looked for by investors as a sign of substance

September 18, 2014 – 6:18 PM

A congressman, an engineer, an airline pilot and a court reporter walk into a fiduciary conference...

TD Ameritrade pulls off amazing Summit in DC that reveals rot to the core of SEC, FINRA and ERISA system

A consumer panel sobered the crowd off the bat with war stories and then Ron Rhoades, Mercer Bullard, David Tittsworth, Sheryl Garrett, Tom Nally, Marilyn Mohrman-Gillis and others pulled no punches

September 18, 2014 – 5:54 PM

Joe Mrak: Envestnet tried to get more into our market and we're going to go right after them.

Philly buyer lays down a cool $199 million in cash to buy FolioDynamix, the better to put Envestnet firmly in its sights

The 'it' factor of the 2007 start-up was its revamped Sungard orphan software with LPL, Pershing and Cetera as anchors

September 17, 2014 – 5:20 PM

Greg Friedman: In just the first six weeks of general release, we have over 80 firms and 500 users.

At Junxure confab No. 2, Friedman kvells about his 6-week-old Cloud and announces closer ties with Pershing

Mark Tibergien was on hand to cement the Junxure-Pershing connection -- and to call baloney on Joe Duran's Cassandra-like forecast for RIAs

September 17, 2014 – 5:15 AM

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