Articles Published 12/2015


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Missive from New England: The Mill Valley-to-Maine scenery change yields its annual payload of inspiration

My big financial challenge was buying Christmas gifts with more money than ideas

December 29, 2015 — 3:54 PM UTC

What the collective unconscious of RIAs in 2015 revealed as crunched by RIABiz article readership

Those taking new and interesting risks, very much including the ones behind robo efforts, created the kind of drama that an advisor mind could appreciate

December 28, 2015 — 5:22 PM UTC

20 months in: A field dispatch from an advisor who started an RIA in a strange city with no clients

After stints as a Beverly Hills broker for Merrill and a salesman for Schwab, the Navy veteran went deep into academia to learn his trade

December 23, 2015 — 7:49 PM UTC

Why Vanguard Group has proved impervious to a '$34.6 billion' whistleblower suit and why nobody's suggesting Vanguard execs should breathe easy

The SEC documented a 1981 OK on the asset manager's 'at-cost' fee structure - but if the IRS is egged on it could cost Vanguard bigtime in back taxes, penalties and future business

December 22, 2015 — 8:09 PM UTC

In first major act as Black Diamond/Advent owner, SS&C Technologies hires operation chief of $14-billion RIA to fill new role

Chris Whiting left Moneta Group in September after big changes at that RIA to join the software company that did his firm's performance reporting

December 21, 2015 — 9:11 PM UTC

Snakes and ladders: What to expect in the unexpectedly triumphant final DOL fiduciary rule

Whether converted or just plain exhausted, the staunchest opponents are standing down to make way for the new rule that will go into effect in 2017

December 18, 2015 — 12:28 AM UTC

NextCapital raises $16 million as its founder goes where Financial Engines' 401(k) robo strategy didn't

Betting giant asset managers will carry the day, recovering co-founder of Personal Capital Rob Foregger seeks firms like Russell Investments, Alliance Bernstein as VC investors and as enterprise clients

December 17, 2015 — 7:17 PM UTC

Sources: Lightyear Capital is set to snap up AIG -- and perhaps install Valerie Brown as its leader

Heads of SagePoint, FSC, Royal Alliance and Woodbury are in New York, perhaps hashing out details of their new life under Donald Marron's private equity unit

December 16, 2015 — 2:28 AM UTC

Dissecting Blucora's giant act of financial engineering -- adding a broker-dealer to a software roll-up

M&A expert Bill Ruckelshaus' Bellevue company is paying $580 million for H.D. Vest, a crazy price by some measures but not if 5.5 million existing Blucora customers can be cross-sold

December 15, 2015 — 6:28 PM UTC

MarketCounsel event opens window on race to first $100-billion RIA and why a new round of 'destruction,' 'blunder,' culture wars, tech disillusionment and SRO jockeying must play out

With hedged hyper-optimism, Marty Bicknell, Ron Carson, Mark Tibergien and Shirl Penney got real with Graham Thomas about mad egg-breaking enroute to the perfect RIA omelet

December 14, 2015 — 8:55 PM UTC

Amid growth slowdown, Personal Capital lists with an investment bank but critics debate if it means 'blood in the water'

Bill Harris has done things his way until now but may hand over control to a giant for a $500 million payday

December 11, 2015 — 10:58 PM UTC

How Brian Hamburger's Miami Beach confab served up compliance cocktails with Lithium chasers to manic RIAs

MarketCounsel Summit had trouble topping last year's Spitzer- Robbins- Cuban-extravaganza in Vegas, but dispensed a compliance-minded prescription to RIAs suffering from growth-spurt jitters

December 11, 2015 — 1:25 PM UTC

401(k) industry howls as DOL lets state governments become DC providers with advantageous exemptions

Multiple employer plans' under states will have economies of scale, fewer rules, while ERISA bars private firms from banding together

December 10, 2015 — 7:00 PM UTC

How vendors fail RIAs -- and themselves in the bargain -- by insulting RIA intelligence

Anything with a whiff of closed architecture, overcharging, inauthenticity, opacity or idiocy masquerading as information is a long-term credibility corrosive

December 9, 2015 — 12:42 AM UTC

Why a $2 billion advisor bolted Goldman Sachs' $26 billion, Albany-based RIA and subtracted 12,000 commuting miles

After sandwiching a 20-year hiatus between GE and Goldman, Susan Reese continues her brilliant career at Joe Piazza's RIA startup in a quest for open architecture and closely held ownership

December 8, 2015 — 5:37 PM UTC

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