Articles written by Sarah O’Brien


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How number-crunching millennials launched an RIA and where a 72 year-old RIA comes in

Fiduciary Financial got going with a breakaway, a succession deal, a marketing approach and a Glass Door

June 5, 2017 — 5:08 PM UTC

How Neal Simon parlayed a hoity-toity family office RIA into a $5 billion serial buyer in two years by letting the whale swallow him first

The CEO of Bronfman E.L. Rothschild engineered nine roll-ins and liftouts since 2015 and, with a key Cantor Fitzgerald hire, is now turning a hungry eye on NYC

May 11, 2017 — 9:52 PM UTC

After sticking his own succession landing, Tim Kochis bags 'retirement' and joins forces with DeVoe & Co. to help other RIAs do same

Tim Kochis helped David DeVoe with his business plan and may become a shareholder as soon as next year

March 13, 2017 — 6:09 PM UTC

Hitting $20 billion of RIA assets in six years, Dynasty Financial hires its first chief AUM-booster, the better to get to $40 billion faster

CEO Shirl Penney installs a Wall Street-weaponized Joseph Rizzo equipped with M&A expertise as Dynasty attempts the shift from critical mass to critical force

March 9, 2017 — 7:25 PM UTC

JP Morgan breakaway RIA makes unusual hires with ambitious plan to lend to people that banks tend to shun

OC Isaac comes aboard Manhattan West to build supply for $100-billion investor demand for seeding startups viewed as messy

February 17, 2017 — 7:48 PM UTC

While Advisor Group's high-powered organic growth strategy unfurls, Valerie Brown unleashes Steve Chipman to do the inorganic wet work of rolling up IBD orphans and maybe even some RIAs

Poached from Foothill Securities, Chipman cites his former employer as the reason he can talk the talk of his quarry -- smaller firm execs seeking a port in a fiduciary storm

January 25, 2017 — 3:53 PM UTC

After leaving Envestnet, Jay Hummel pops up at American Century with a 21st century plan

The former 'thought leader' is moving three children to Kansas City to more rapidly move the old-line mutual fund company to action

January 4, 2017 — 7:06 PM UTC

With Addepar muscling in, original UHNW software force PCR hires new CEO, triples engineering staff, kills off asset-based pricing and seeks more RIAs

Plucky Bob Miller is replacing Rob Fiore at the Wilton, Conn. firm with a keen sense of UHNW hegemony and willingness to take half an RIA loaf for reporting on managed illiquid assets

December 30, 2016 — 7:14 PM UTC

T. Rowe Price plucks an RIA 'pain' expert from Vanguard Group to rethink asset management delivery

With net flows flattish in Baltimore, Michael Park arrives to make sales interactions with RIAs more of a 'dialog'

December 21, 2016 — 6:09 PM UTC

Once RBC's RIA face, Craig Gordon returns to the Minneapolis-based custodian psyched about City National purchase and NextCapital deal

Gordon is betting his career on the premise that RBC has gotten its act together in the two years he was away

November 28, 2016 — 8:58 PM UTC

With DOL wind at its back, Pentegra Retirement Services hires David Barrer to newly created TPA czar position to sail past its $11-billion AUM watermark

Barrer will apply his 32 years of ERISA retirement plan experience for dead reckoning navigation of 'yet to be determined' liability under the new fiduciary rules

November 3, 2016 — 5:45 PM UTC

Chatting with David Amster as he joins a compliance risk firm in 'crowded' industry just as the DOL storm makes shore

Cutting his teeth at Salomon Bros., as a FINRA examiner and then UBS fixed-income compliance guy, Amster brings a portfolio of perspectives to the roiling sector -- but don't call him a consultant

October 31, 2016 — 6:27 PM UTC

Non-competed out of starting another RIA (for now), Peter Raimondi becomes an M&A guy 18 months after the giant Banyan merger

Raimondi, a maverick who is now a staffer at Gladstone Associates, gives his side about a rumored culture clash after his roll-up was rolled up by another

October 3, 2016 — 5:54 PM UTC
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