Articles written by Oisin Breen


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How a $500-million Commonwealth rep became a $5-billion-plus RIA in two years and where Dynasty's M&A war on roll-ups comes in

After forming his own RIA, moving assets to Schwab and partnering with Shirl Penney's firm, David Root just kept M&A-rolling into 401(k) clover

January 19, 2018 — 8:19 PM UTC

Morningstar makes tough choice in shedding a 'fiduciary' division -- perhaps to avoid a conflict

Once primarily a 'research' firm, now more of a 'data' firm, the Chicago-based firm was discordant selling 15(c) board consulting services and sell data into the same market, say experts

January 9, 2018 — 8:44 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

Citi exec 'accidentally' invents cash-robo with 400 RIAs as distribution channel

Gary Zimmerman scrambled in 2009 from Tokyo to shield millions in uninsured cash, leading to MaxMyInterest, which RIAs now use to automate process of getting $5 million under FDIC protection -- and often earning an extra 100 basis points in the bargain

December 7, 2017 — 8:00 PM UTC

Quovo is developing an ACATS rooter process with Apex Clearing as first to sign on

The Silicon Alley startup is using its data science as a way of attacking a clog considered not susceptible to intervention

November 14, 2017 — 11:09 PM UTC

US Bancorp venture uses $2.6-trillion running start in bid to become the supermarket-of-fund-supermarkets -- with analysts seeing threat to Pershing and other clearing giants

Using DOL rule as spur, the Minneapolis bank conjoins with hundreds of small IBDs with tantalizing promise of placing them on the same footing as the biggest self-clearing firms

October 17, 2017 — 10:45 PM UTC
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