Articles Published 5/2015


HeadlinePublish date

How exactly RIAs can get the something for almost nothing they expect from 'free' social media

Facebook, LinkedIn and Twitter basics can be a gateway to a broader cyber existence, maybe

May 29, 2015 — 4:57 PM UTC

JP Morgan gets a 39-page blasting of its corroded culture and ground lost to Silicon Valley robos -- authored by its CEO Jamie Dimon

The letter to shareholders by Wall Street's sultan shows uncharacteristic humility but some analysts question the missive's sincerity

May 28, 2015 — 6:41 PM UTC

Salesforce discloses upcoming RIA CRM product, cryptically and to some jeers

Losing its cloud edge with Redtail, Junxure -- and with a dubious social media strategy -- the San Francisco software giant needs to play catch-up

May 27, 2015 — 8:21 PM UTC

What exactly to make of the big robo-advice deal that, according to Reuters, Financial Engines and Wells Fargo are nearing

The pieces -- 401(k) pricing, DOL, Supreme Court and massive scale -- are all in place to make the Silicon Valley-San Francisco deal make sense, analysts say

May 26, 2015 — 7:56 PM UTC

JD Power crowns Schwab as tops for 'self-directed' investors for its ability to provide investors greater direction

Scottrade plummets from first place to fifth as Fidelity and Vanguard come in a hair behind Schwab

May 22, 2015 — 5:26 PM UTC

Focus Financial doubles down on financial engineering by making five hires -- four of them deal hounds

With $325 million in revenues and a big line of credit, the New York roll-up machine is playing to its M&A strength

May 21, 2015 — 8:57 PM UTC

Virtus bites bullets with F-Squared firing, Dorsey Wright hiring and an admission that it'll likely pay a $5-million-plus SEC settlement

The Hartford fund company set aside $5.2 million, warned it may need more and is replacing interstellar algorithms with a Virginian's figurings

May 21, 2015 — 6:13 PM UTC

How 12(b)-1 fees and revenue sharing may be the real victims of Monday's 'narrow' Supreme Court ruling

By unanimous decision, a conservative nine showed no tolerance for retail mutual fund share classes that achieve such status with fat fees that directly or indirectly pay 401(k) administration freight

May 20, 2015 — 4:18 PM UTC

Gladstone commandeers the Four Seasons as Andy Putterman and Brian Hamburger command the buzz

The M&A firm's event is about zzzzzzuccession planning but the event got un-boring fast when the two CEOs spoke their minds

May 19, 2015 — 8:08 PM UTC

After Schwab robo launch, Trizic phones leap off the hook as Wall Street brokers and bankers come calling -- and VCs write checks

Ex-JP Morgan Trizic founders say their giant enterprise prospects went from 'denial' to 'how?'

May 18, 2015 — 6:33 PM UTC

Credible reasons Facebook and Google won't become robo-RIAs and other things I learned at Hearsay Social-Pershing event in San Francisco

The atmosphere was SOMA startup, the 20-plus RIAs wore suits and dresses and Mark Tibergien was in listening mode

May 15, 2015 — 7:08 PM UTC

What happened when a Florida RIA brought DOL's Tom Perez to his local business elite

The corporate stewards of a cumulative $1.57 billion in assets seem OK with -- if a bit confused by -- the new fiduciary world order

May 15, 2015 — 4:02 PM UTC

Mark Hurley's new report analyzes the pathology of the aging RIA and the illiquidity it exacts

The leveraged buyout specialist posits thousands of principals trapped in their practices, unable to sell, victims of psychological unpreparedness

May 14, 2015 — 4:57 PM UTC

Feeling its oats in post-Genworth life, Altegris does a deal with KKR anchored by a big Merrill Lynch brokerage commitment

Using a deli-slicer approach, the San Diego liquid alts firm will make KKR billions available in $25,000 portions

May 13, 2015 — 5:55 PM UTC

Why quiet co-breakaway of LPL and Ameriprise advisors in Downeast Maine speaks so loudly to Shirl Penney

Penney, who arrived in New York in a $13 suit and built Dynasty, is reconnecting with his home state by signing on a Brunswick breakaway

May 12, 2015 — 4:57 PM UTC

RIABiz Archives

2017 | June | May | April | March | February | January 
2016 | December | November | October | September | August | July | June | May | April | March | February | January 
2015 | December | November | October | September | August | July | June | May | April | March | February | January 
2014 | December | November | October | September | August | July | June | May | April | March | February | January 
2013 | December | November | October | September | August | July | June | May | April | March | February | January 
2012 | December | November | October | September | August | July | June | May | April | March | February | January 
2011 | December | November | October | September | August | July | June | May | April | March | February | January 
2010 | December | November | October | September | August | July | June | May | April | March | February | January 
2009 | December | November | October | September | August