RIABiz

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RIABiz

Articles written by Bob Margolis


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Karin Maloney Stifler: Talking about money really is our last taboo subject.

What one advisor's letter to her son reveals about Americans' attitudes toward money

The financial crisis may have opened the door to money-talk -- and raises questions about advisors' responsibilities

February 25, 2011 at 2:56 PM

Frank Braddock: I said we needed a robust trading platform and the best research. Look, losing the smarts of MSSB would hurt.

A Morgan Stanley Smith Barney breakaway stepped off the wirehouse carousel to keep in touch with his clients

A former radio star, Frank Braddock prides himself on being able to get to know people within the intimate orbit of money

December 15, 2010 at 2:53 PM

Barnaby Levin: When Morgan Stanley bought Smith Barney, their priority was to integrate platforms.

Inside the mind of one recent Morgan Stanley Smith Barney breakaway who landed at HighTower

Barnaby Levin chafed at how the wirehouse restricted the way he could serve a client list made up of top execs at start-ups

December 6, 2010 at 5:58 AM

Ben Marks: We had many clients ask us, once the market downturn took place, why we were still at UBS?

How a UBS skull session was complicit in showing this advisor the path to independence

The final straw: clients openly asked why he was still with a wirehouse

October 29, 2010 at 4:24 AM

Having been through the integration of U.S. Trust into Bank of America and then watching the beginning of Merrill Lynch’s acquisition, Stacey Reinhart predicts continuing instability, which she says is bound to hurt clients.

U.S. Trust advisor joins an RIA after surviving the firm's sale to Bank of America

Stacey Reinhart joins Emerson Investment Management to get back to basics

August 24, 2010 at 5:48 AM

Joe Perry: The way  JHS presented its ethical guidelines helped win his business.

A decade of baby steps led a broker from Merrill Lynch to a three-office hybrid of his own

Potomac Investments now uses broker JHS, where an ethics policy carried the day

July 29, 2010 at 3:49 AM

Tom McGuirk: "It was this intense feeling of euphoria and also a moment of whoa! I am really a business owner now."

How an Olympic hurdler and Smith Barney broker made the leap to his own RIA

Goal oriented: Tom McGuirk put his breakaway date on the wall in the place where his running time used to be

July 16, 2010 at 3:27 AM

Dorie Rosenband: I invested $150,000 and still haven’t taken a salary, so this was a significant financial event for my family, but so worthwhile!

Dorie Rosenband's post-maternity return to Smith Barney shocked her into becoming a RIA

Seeking to build a practice serving women-in-transition, she hopes to attract other women advisors, too

July 9, 2010 at 6:25 AM

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