Articles Published 1/2016


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Ex-Lockwood CEO Steve Dunlap takes on role at FolioDynamix after being a customer with a bone to pick

With new Actua ownership, Dunlap and capital, FolioDynamix CEO Joseph Mrak says his firm has Envestnet in its sights

January 29, 2016 — 9:04 PM

Tick, tick, tick ... FINRA rewrites 'culture,' 'conflicts of interest' and 'ethics' into a farcical 'best interests' code after DOL drops a bomb on its suitability ethos

In its latest burst of bureaucratic creativity, the wirehouse cop acknowledges the scourge of Wall Street culture then quickly excuses the behavior it elicits

January 29, 2016 — 6:33 PM

A fresh look at the seemingly preposterous notion that cheap oil is somehow harmful

Net-net, an energy glut affords big benefits but the systemic shock, markets, economies and geopolitics, pose plausible threats

January 28, 2016 — 11:22 PM

Vestorly makes play for RIA browsers with $4.1 million of VC funding -- tiptoeing past prowling issue

Justin Wisz's robo-marketing for advisors already serves RIAs like Halbert Hargrove but now he's reaching for a higher rung of robotics

January 28, 2016 — 9:15 PM

Betterment adds 50 firms to its new 401(k) plan -- and IBM and Marcia Wagner connections

Smaller companies with Betterment-ish-sounding names like Earnest Operations and Boxed are the early guinea pigs but big dogs are on the robo's 401(k) board of directors

January 27, 2016 — 7:24 PM

Why Lightyear's purchase of AIG Advisor Group isn't a Cetera-type fixer-upper case and how Donald Marron will respond accordingly

The New York-based private equity firm picked up ING's brokers in 2009 for a song after market meltdown but AIG networks has intangible value as a survivor

January 26, 2016 — 8:47 PM

LPL keeps on stockpiling tip-top compliance execs, with JP Morgan's ex-CCO the latest

Tracy Calder joins a lengthening line of hires that follow a deluge of SEC fines

January 26, 2016 — 4:11 PM

Bill McNabb declares 'bull market' for RIA advice then downplays role of Vanguard Personal Advisor Services

The Vanguard CEO sees new era of 'advisor alpha' facilitated by software and low costs

January 26, 2016 — 12:56 AM

As OneSource asset levels falter, Schwab slashes no-transaction-fee minimum to invest

The San Francisco-based firm is first to create published minimums and all the Big Three custodians point fingers at recalcitrant asset managers

January 22, 2016 — 10:05 PM

Three ways RIAs can reassure clients when they're feeling none-too-assured themselves

The objective isn't to cure the disease but to treat the myriad of symptoms being experienced until healing can occur

January 22, 2016 — 12:23 AM

Any bulls left? If not, that could be a good thing, opines LPL Financial's CIO

The ominious 'death cross' phenomenon suggest the market could be scraping bottom

January 21, 2016 — 7:56 PM

In a deal made in Schwab land, a $1 billion Boulder RIA buys smaller rival but takes the bolder name of its quarry

Sargent Bickham Lagudis rebrands under $250 million AUM Colorado Financial Management in search for newly prosperous clients

January 21, 2016 — 7:35 PM

As Schwab noncompete expires, Steve Cucchiaro jumps back into the ETF management game with old staff

After selling $4.5-billion Windhaven to Schwab for $150 million he eventually left at $19 billion, then missed the culture of independence

January 20, 2016 — 9:34 PM

How the mastermind of the Luminous Capital breakaway is parlaying his cloak-and-dagger skills into 'Pure Financial Independence'

With his wife, Larissa, as sidearm, Matt Sonnen seeks to fulfill a niche for a service level between John Furey and Shirl Penney

January 19, 2016 — 8:38 PM

Two RIA M&A firms merge -- sort of -- when they're not competing head-to-head

Park Sutton and Advice Dynamics Partners are trying out the power of two, without too much heavy paperwork

January 19, 2016 — 6:20 PM

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