Articles published 9/2016
Headline
Publish date
How I became an RIA by winning a golfer's trust in my caddie days and why I broke from his OSJ to avoid conflicts of interest
Tony Velasquez, who met his mentor and first boss on the links, has advice for captive brokers -- don't let the B-Ds scare you into staying!
September 30, 2016 – 8:53 PM
Nationwide buys Jefferson National under purported DOL duress but 'good private equity' and good planning may rule the day
The big Columbus, Ohio national insurer can certainly use a fiduciary annuity -- if there is such a thing -- but ROI is impetus number one
September 30, 2016 – 7:25 PM
FiNet welcomes six wirehouse defectors at the apex of a withering Wells Fargo bank scandal that 'has legs'
Wells Fargo Advisors and FiNet ADVs warn of some cross-selling as RIAs eye Wells Fargo to see if the only wirehouse attempt to support independents will succeed, fail or end in confusion
September 29, 2016 – 7:15 PM
Cornered by custodial edicts, CONCERT exits RIA business in deal with Arkansas-based white knight
Bill Sowell's first order of business is to keep the advisor crew on board, using as one sop the familiarity of CONCERT's proprietary CRM
September 28, 2016 – 9:18 PM
After BNY Mellon buys $2.7-billion Silicon Valley RIA, it files suit against four former staffers who file swift-uppercut countersuit
Four former Atherton Lane advisors form Lyell Wealth Management and say they never promised anything to their employer's acquirng mega-bank
September 27, 2016 – 8:07 PM
Capital One brings bigger crowbar to your wallet as it launches national RIA with its signature intensity
The brokerage unit of the giant McLean, Va.-based bank is hiring energetically, and following a model not dissimilar to Wells Fargo
September 26, 2016 – 6:16 PM
FolioDynamix president uses conference to KO robos and call them a 'free beta test'
A half-full message on DOL rules is the federal mandate to ask clients about held-away assets as a matter of fiduciary responsibility
September 23, 2016 – 6:23 PM
RIA Zen and the art of doing what's prudent -- even if you can't brag about it over beers
James Osborne confesses his guilty desire to make his practice more exciting and why he resists the temptations of adrenaline highs on behalf of clients
September 23, 2016 – 5:43 PM
What to make of Wealthfront's three big hires and why its artificial intelligence bid may be indefensible as a strategy
The Redwood City robo bets big on an ex-Google engineering whiz amid a Betterment onslaught and after a period of high-profile departures
September 22, 2016 – 9:06 PM
How Personal Capital got a stunning $1-billion AUM boost in six months -- after gathering its first $2 billion over six years
CEO BIll Harris says part of the secret is hiring human advisors to stoke referrals
September 21, 2016 – 9:12 PM
Reality closes in on Felipe Luna as TD and Fidelity move to cut the cord, he goes off BrokerCheck and his $2 billion RIA gets shopped
Recent SEC woes are forcing the hands of owners of the 'wirehouse-lite' platform that allegedly raised capital in an improper fashion
September 20, 2016 – 4:42 PM
In search of a 'mind-set' shift, $2.2 billion Wichita team tunneled out of Morgan Stanley -- taking absolutely no chances with the guards
Despite the team's three-decade age span, the Morgan Stanley veterans shared a vision for a practice -- one without a roll-up, outsourcer or dictates from New York.
September 19, 2016 – 6:30 PM
The FPA finally puts on a better CFP face and she lights up the hall in Baltimore
Gigi Guerra was the 75,000th CFP recipient and she captured an air of revitalization the Financial Planning Association will need to survive and thrive amid massive industry changes
September 17, 2016 – 12:24 AM
The sorry truth about the SEC's plan to crack down on bad stockbrokers by putting RIAs in a vise
The move is a clear diversionary tactic on the SEC's part to avoid flexing its muscles and withhold licenses
September 16, 2016 – 5:06 PM
Asset managers at Morningstar's ETF event, facing an in RIA-in-charge future, show mettle
The Chicago event connected traders, index providers, issuers, marketers, PR, distributors -- and a knee-capped Liz Ann Sonders -- all trying to find footing in an everything-up-for-grabs playing field
