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 at 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 at 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 at 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 at 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 at 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 at 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 at 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 at 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 at 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 at 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 at 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 at 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 at 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 at 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 at 6:20 PM
As the S&P 500 shoots below the moving averages, how much more should we worry?
More. But at about 14.75x forward earnings, or the levels of mid-2013, so far, so normal.
January 15, 2016 at 10:49 PM
Focus Financial bags $3.1 billion, 50-person RIA and why it 'really is impressive'
Kovitz Investment Group becomes the roll-up's fourth Chicago holding -- and maybe the most ambitious
January 15, 2016 at 3:20 PM
What the deletion of no-drama Greg Fleming bodes for Morgan Stanley, wirehouses and CEO James Gorman
Moves leading up to the 52-year-old Yalie's departure, made under duress, removed the CEO's chief rival and chief heat shield
January 14, 2016 at 9:56 PM
How exactly Invesco plans to get a return on its Jemstep robo purchase with a TAMP-evoking strategy
The $800-billion Atlanta money manager is trying a modern model portfolios play on buying distribution for a more prominent seat at the table
January 13, 2016 at 9:39 PM
Vanguard's virtual RIA adds $10 billion in last six-month period, an acceleration to $1.6 billion per month of net new assets
Does Vanguard's Personal Advisor Services' zoom to $31 billion makes it a the 'single greatest threat' to classic RIAs?
January 12, 2016 at 10:40 PM
Why the RIA business starts 2016 without its swagger: 2014 and 2015
What's hot right now? Almost nothing and nobody. But it might be a 'healthy correction' of equilibrium
January 11, 2016 at 11:42 PM
With algorithms and awkward questions, an ex-PIMCO 32-year-old crashes the RIA business
Min Zhang will literally size you up and analyze your life like an actuary with Totum Wealth
January 9, 2016 at 12:17 AM
An $8.4 billion wealth manager emerges in Milwaukee after old RBC spinoff, Cleary Gull, finds local love
Johnson Financial Group adds 40 advisors and $2.1 billion but does a reverse branding merger
January 7, 2016 at 10:47 PM
Need an up-to-the-minute 2016 RIA model? Read the large print in Brooke's hypothetical Southall Advisors RIA brochure
In a world of undifferentiated wealth managers, a culture of millennial-style openness addresses the core issues -- trust and accountability
January 6, 2016 at 10:45 PM
Joan Khoury gets hired as CMO to revive brand of the other Oppenheimer
LPL's ex-marketing chief comes to the long-forgotten wirehouse believing its long history provides grist for a compelling narrative
January 5, 2016 at 11:10 PM
Tony Sirriani buys AdvisorHUB
The founder and former CEO of Washington Wealth Management vows not to 'sell out' but AdvisorHUB's new business model is still being developed
January 5, 2016 at 5:08 PM
The 10 biggest RIA moves of 2015 and what conclusions to draw from them
PE dollars, succession angst, women executives seeking same and, of course, the robo sweepstakes spurred these advisor-entrepreneurs to dare and to risk much
