Articles published 3/2015
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My 10-year journey from a BoA call center to establishing a solo $73-million AUM RIA
I established my own business two years ago with a pitch [and fee structure] so appealing I don't always finish it
March 31, 2015 – 7:46 PM
SEC denies Freedom of Information request by RIABiz related to Virtus funds as Ameriprise and TD Ameritrade become latest biggies to cut ties
The regulator's non-response isn't proof of an investigation but big broker-dealers continue to see smoke as fire -- and Virtus's own SEC docs seem to warn of potential trouble brewing
March 30, 2015 – 5:19 PM
How an iPhone app cut through stilted questioning at Barron's RIA custody panel in Scottsdale
Sterling Shea invited advisors to vote on pressing RIA questions via iPhone -- and they acidly asked Bernie Clark whether Schwab is robo-competing against them
March 27, 2015 – 7:13 PM
Why EF Hutton's rebooters took the arse-backward tack of selling public shares and buying a brand before developing a product
CEO Chris Daniels is betting the brand's 20th century fame combined with 21st century digital technology -- and a Nasdaq listing -- will translate into success
March 26, 2015 – 8:02 PM
In reply to SEC, Howard Present blames bad advice for any alleged wrongdoing
The F-Squared founder cries foul for what the SEC calls fraud
March 24, 2015 – 10:49 PM
Schwab is accelerating its software upgrading pace on the back end
The San Francisco-based firm's front-end technology surpasses the system's foundation, which is OK for now, but the bill is coming due
March 24, 2015 – 8:18 PM
Trade publication critiques the inhumanity of Schwab's robo advertising
AdWeek notes the Blue's oh-so-calm, 'kill-all-the-humans' voice
March 24, 2015 – 4:59 PM
Schwab makes thousands of its RIAs subject to fee for robo-software, allocation of client cash to Schwab Bank
The San Francisco firm told RIAs on a webcast that their firms must have $100 million on account or pay for robo-software
March 23, 2015 – 7:21 PM
Found innocent after being sentenced to jail for alleged bilking of an old lady, Glenn Neasham struggles to rebuild his career
Former Vikings quarterback-turned-marketer Fran Tarkenton is scrambling to help but Neasham is delivering pizzas at night
March 20, 2015 – 8:38 PM
For sub-$500k accounts, Schwab is sweeping RIA client cash into its bank, pumping up corporate profits
Unlike the robo, RIAs can manually direct funds to money market funds which makes this change less controversial
March 19, 2015 – 5:51 PM
Swamped by Tony Robbins' referrals, Ajay Gupta launches national venture with Jemstep and United Capital as notable partners
The UBS breakaway mentioned in the self-help guru's book is now calling on RIAs nationwide to share the referral wealth
March 18, 2015 – 7:41 PM
How exactly I started a specialized RIA for under $10,000
Andrew McFadden started Panoramic Financial Advice out of his Fresno, Calif. home and cut costs to the bone -- except where only retail would do -- and isn't afraid to send micro-accounts to a competitor
March 17, 2015 – 6:49 PM
The mission-critical task Abby Johnson has entrusted to Mike Durbin regarding Fidelity's RIAs and automation
The Fidelity CEO's move reflects a paradigm shift for RIAs, for the whole company
March 16, 2015 – 8:17 PM
With apprehension in the air, Schwab invites its RIAs to a one-hour meeting about robo-advice
Many of Schwab's 7,000 advisors are eager for robo-technology but are wary of what's behind the amiable blue facade
March 13, 2015 – 5:47 PM
After lassoing Banyan and Silver Bridge talent, Ropes & Gray launches $2.7 billion RIA to extend its legal brand to financial advice
The 150-year-old white shoe, which counseled Mitt Romney on financial matters, is unshackled to advise as Ropes Wealth Advisors
