RIABiz

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RIABiz

Articles written by Elizabeth MacBride


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Dave Butler: The strategy light went off.

Dimensional Fund Advisors gins up its first conference dedicated to the 401(k) market

The Austin, Texas-based fund company sees growth in retirement plan assets from big customers

May 1, 2011 – 12:00 AM

TD's Skip Schweiss: “We have advisor demand for it. We started offering it (to a small handful) and doing manual processing to make it work.”

TD Ameritrade beats Schwab to the punch with ETF option for retirement plans

Platform allows advisors to sell mutual fund and ETF capability

April 21, 2011 – 2:48 PM

Sheryl Garrett:  “Given the funding issues currently facing the SEC, it may not get the resources to continue to regulate registered investment advisers. In that event, the Committee supports an alternative self-regulatory organization (SRO)."

Influential fiduciaries endorse bootstrapping advisory-industry SRO

Maria Elena Lagomasino and Harold Evensky among those giving nod to Mississippi law students

April 18, 2011 – 1:39 PM

If an army of bankers, brokers, accountants, insurance agents, and advisors can't bring your finances together, perhaps you need a general.

In a world of Schwab and Merrill, can the CFP Board use $36 million of ads to make planning sexy?

Goal is for consumers to see CFP mark as a Good Housekeeping seal of approval

April 15, 2011 – 2:56 PM

Kevin Keller: We do not want to be a regulator. Our role is setting standards, and our role is most appropriate as it is.

(Updated) What’s behind the CFP Board’s big fee increase

'Category-killer' is in the eviable position of controlling a mark that many advisors think is essential

April 14, 2011 – 1:14 PM

NASSA's David Massey: “(The letter) was helpful news, which is unusual."

Deadline for state registration may have shifted; SEC's Robert Plaze offers clarity

It's nice, but it's not a rule, say compliance experts, regulators frustrated by amorphous situation

April 12, 2011 – 2:48 PM

Tony Sirianni: “The big firms don’t see the value in (branch managers), which is crazy because that’s how they built themselves.”

Former MSSB exec powers up Washington Wealth Management as branch-manager franchise

RIA structured as an independent branch network rises in Virginia's horse country on Fidelity platform

April 11, 2011 – 2:42 PM

Lockdown in Washington may mean a short reprieve for advisors in the midst of exams, but the looming shutdown portends nothing good for the industry in general, say lawyers

Government shutdown may wallop SEC to the long-term detriment of RIAs

Audits on hiatus; fraudsters get more of a lead; most of the SEC on skeleton staff

April 8, 2011 – 10:31 PM

Ron Rhoades: We need to foster a next generation of leaders, armed with a greater knowledge.

Ron Rhoades is a lawyer and RIA with no back-down; the VA industry is finding that out in a hurry

The relationship began with a comment about the ineffectiveness of cosmetics on pigs

April 8, 2011 – 1:43 PM

A technology platform decision by Presidio's Paul Boscacci sparked a story that led the RIABiz rankings for March.
April 1, 2011 – 2:11 PM

Jim McTague: We're going to have to get used to volatility, like we have to get used to the fact there may be radiation in our water from Japan.

Wake-up call: ETFs feel the heat of NASSA's exotics panel

Beloved for their stellar qualities by RIAs, they are nonetheless the casino chip du jour for many traders

March 29, 2011 – 1:26 PM

Todd Thomson: All the best products, the best thinking, the best money managers, used to be on Wall Street. Today, none of that is on Wall Street.

In a Q&A, Todd Thomson explains why Wall Street's glitter faded beside Dynasty opportunity

The former Smith Barney chief is mentoring his young colleagues and raising capital from Wall Street veterans

March 24, 2011 – 2:51 PM

Shirl Penney: We all believe this is a unique time for a mature industry.

RIABiz goes to New York in search of RIA life in the land of investment banking giants

The ambitions of Dynasty Financial's Shirl Penney and Focus Financial's Rudy Adolf match the city's scale

March 24, 2011 – 2:29 PM

Monument Wealth Management designed its office around its 200-square-foot Planning Room, where partners use custom-made glass panels to offer clients a free, detailed look at their finances.

Advisor Spotlight: Monument Wealth Management shows that A-plus office space isn't just for ad agencies and law firms

The former Merrill brokers moved to a bedroom community but kept the urban chic

March 21, 2011 – 2:34 PM

Troy Paredes: The SEC commissioner also spoke, advocating for a regulatory regime that's easier on small firms ‘We should reject a one-size-fits all regulatory regime,” he said.

Eavesdropping on the IAA: JP Morgan exec challenges advisors on FINRA

SRO remains overarching concern; many advisors haven't finished their ADVs; anxiety rises about 'the switch'

March 11, 2011 – 3:26 PM

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