Articles Published 12/2017


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The top 10 most-read RIABiz articles of 2017 told stories about what RIAs, brokers, vendors can get away with post-DOL rule

Change is abrupt, pain is severe but most of it can be traced to custodians and advisors taking their medicine preemptively

December 28, 2017 — 8:49 PM UTC

Claiming DOL rule has no handle on truth, Don Trone crafts lie detector test to assess RIA brains

The Neuro-Fiduciary & Governance Psychometric Instrument involves an EEG, an interview and six colleagues willing to vouch for your true fiduciary bona fides

December 24, 2017 — 5:23 AM UTC

Fidelity sounds alarm over RIA discounting but Mark Tibergien, Eric Clarke and others see it differently

Pershing's Gabe Garcia sees more RIAs raising fees than lowering them but Fidelity's David Canter says he observes real-life discounts that support survey results

December 21, 2017 — 5:05 PM UTC

Fed up owner of $5.4 billion RIA prepares to run for U.S. Senate as independent

Neal Simon, CEO of Bronfman Rothschild and advocate of The Centrist Project, has exploratory committee in place and will decide by February

December 20, 2017 — 10:13 PM UTC

Pioneering breakaway brokers-turned-TAMP taps three managing directors from long-time firm members

December 20, 2017 — 6:16 PM UTC

Quarter-century Mercer veteran headlines C-suite re-org in wake of Health, Wealth leader Jacques Goulet's departure to Sun Life

December 20, 2017 — 5:28 PM UTC

Seeking to build on banner year, Orion hires CMO and raft of sales and service execs

December 19, 2017 — 8:15 PM UTC

How Morningstar got in the last word after The Wall Street Journal dropped a year-in-the-making investigative piece on the fund tracker's head

Don Phillips used Chicago street talk and wielded research muscle to hit the Dow Jones newspaper high and low

December 19, 2017 — 8:12 PM UTC

Institutional investor with international CV is named CEO of Disciplined Capital Management

December 19, 2017 — 6:40 PM UTC

How Merrill Lynch 'shot to hell' the RIA fiduciary citadel by casting its $7.5 billion fiduciary 401(k) unit as smaller, purer and more future-minded on paper

Despite FAS having fewer 401(k) assets than, for example, a single North Carolina-based RIA, CAPTRUST, the Charlotte-based Bank of America's brokerage unit has created a new competitive threat

December 16, 2017 — 12:20 AM UTC

Why Brent Brodeski, a $6-billion GOP RIA, is in a furious full-time fight against the Republican RIA-unfriendly tax bill

The Rockford, Ill.-based owner of $6-billion Savant Capital makes appeals to Paul Ryan, Ron Johnson and other GOP higher-ups after LLC income gets short shrift

December 14, 2017 — 12:44 AM UTC

Vanguard Group makes $1.15-trillion AUM bet on blockchain technology that eliminates giant daily manual process

The $4.8-trillion giant applies the 'bitcoin' decentralized ledger to CRSP-tracked AUM to match indexes and index funds in real time

December 13, 2017 — 1:09 AM UTC

Top financial crime compliance counsel joins Bressler, Amery & Ross, recent target of RIA-industry ire

December 12, 2017 — 4:36 PM UTC

Tim Chubb rises to CIO at RIA of venerable Pa. financial services firm

December 12, 2017 — 3:59 PM UTC

An RIABiz advertising exec derives hard meanings from soft comments made by big shots at MarketCounsel Summit

Post-TD Tom Bradley, post-refinanced Elliot Weissbluth, post-divorce David Bach and Ric Edelman, post-protocol Shirl Penney and post-windfall Marty Bicknell were among execs who tipped their hands and hearts about where they are headed

December 12, 2017 — 2:18 PM UTC

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