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CapTrust

14 articles

Articles tagged "CapTrust"

Peter Mallouk: 'It's the perfect great day but the perfect storm is coming.'

Aug 29, 2025

Peter Mallouk foresees seismic shift in RIA M&A from sellers to (some) buyers, if two bad years shake would-be seller complacency and suboptimal buyers bail out

The CEO of Creative Planning made his case that procrastinating for profit will end as markets shift and buyers thin out.

Louis Harvey: One of the big things that RIAs had from day one was they could say they always put clients' interests first and now that argument is pretty much shot to hell.

Dec 16, 2017

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

Fielding Miller: If we're not the fastest growing RIA out there, then I don't know who is.

Sep 11, 2017

CAPTRUST is a $220-billion RIA 401(k) roll-up but new $20-billion acquisition may wipe clean target set

The Raleigh, N.C.-based rollup did 26 deals in 10 years and finally the firm's old 'friend-enemy' partner, CapTrust was one of the few needle-movers left to make its last 10% inorganic AUM leap

Bing Waldert: They can go to the guy they trust and just use that person.

Sep 17, 2015

Report: 'Brother-in-law' dabblers are giving 401(k) ground slowly to specialists in $1.3 trillion market

Some RIAs disagree with Cerulli's pessimism and say DOL is having its effect with small employers seeking real experts to provide 401(k)s to employees

Troy Hammond: If we sold our enterprise to CAPTRUST, I think it would have felt weird to our advisors.

Apr 6, 2015

As $160-billion CAPTRUST makes a snack of $10-billion Pensionmark, Fielding Miller accelerates his roll-up plans with a liberal structure

The Raleigh, N.C.-based firm's willingness to buy 49% reduces 'weird' and may set the stage for life as more of a 401(k) franchisor

J. Fielding Miller: We were talking a big game, and he wanted to see results.

Sep 16, 2014

How uncomfortable questions from prospects led a 'small' $12-billion 401(k) advisory RIA to finally say yes after eight years of rebuking overtures from a $120-billion AUA RIA

With the purchase of DCAdvisors, CAPTRUST emerges as a bigfoot player in a consolidation-bound industry

Abby Johnson interviewed by NPR's Tom Ashbrook: Lean on Fidelity.

May 19, 2014

Abby Johnson tells RIAs to have all employees, up and down the chain, think client thoughts at Fidelity's 2014 Executive Forum

Advisors -- many with assets in the tens of billions -- were on hand along with New Yorker writers, NPR and other super-thinkers

Kathie Andrade says that what TIAA-CREF was missing was a way to advise individuals nearing retirement.

Dec 3, 2013

In red-hot 403(b) market, TIAA-CREF hires hundreds of advisors after RIAs, and Fidelity, pose new threats

RIAs angling for a bigger piece of 403(b) arena cause the giant firm to play defense in hopes of intercepting more rollover dollars of soon-to-be-retirees

Jeffrey Maggioncalda: I think it becomes harder and harder for a product solution to replicate this holistic service solution that we put into the marketplace.

Oct 1, 2013

Financial Engines more than doubles its share price by defining a niche in the 401(k) market between target date funds and RIAs

Wall Street is seeing things Jeff Maggioncalda's way for now, as new DOL regs make plan sponsors more certain they want participants advised inexpensively but not cheaply

Fielding Miller: There are so many schools and non-profits there. The Northeast is our new focus.

Sep 16, 2013

A $103 billion AUA RIA storms TIAA-CREF's Northeast stronghold by poaching a hotshot from a $30-billion RIA in Greenwichland

CAPTRUST's 403(b) assets have jumped 60%, or nearly $5 billion, in AUA in one year and TIAA-CREF's $217 billion of 403(b) assets are still pretty untapped

J. Fielding Miller: This has that magic fit.

Jan 9, 2013

CAPTRUST wakes up the 401(k) industry by buying $1-billion advisor/recordkeeper that adds the 'magic' to its arsenal

Freedom One's system offers 3(38) fiduciary management that allows the $85-billion Raleigh behemoth a way to take greater control of assets

Phyllis Borzi is poised to continue her mission of protecting 401(k) investors in 2013: "The laws need to keep up."

Jan 4, 2013

10 most influential individuals in the 401(k) industry affecting RIAs in 2012, Part 2

Executives and lawmakers are leading the charge on a fast-shifting landscape as retirement funds gain increasing importance to an aging US population

Terrence Morgan: 401(k) plan sponsors are finally ... discovering ... that all their friendly stockbroker could do was hand out enrollment kits and pat their employees on the back.

Sep 27, 2012

Cerulli: RIAs and hybrid RIAs make giant advances on banks and wirehouses in the 401(k) race

DOL guidance is making a difference and so is bank and wirehouse reluctance to take on fiduciary risk

Lou Harvey: The rules on the participant side are a joke.

Jun 18, 2012

After years of DOL bluster, new 401(k) rules appear to make RIAs' low expenses look higher than those of brokers

It's the same old problem of mutual fund-paid fees arriving by tunnel and therefore getting a pass in disclosures; DOL no-comments the issue

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CapTrust

Articles tagged "CapTrust"

Peter Mallouk foresees seismic shift in RIA M&A from sellers to (some) buyers, if two bad years shake would-be seller complacency and suboptimal buyers bail out

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

CAPTRUST is a $220-billion RIA 401(k) roll-up but new $20-billion acquisition may wipe clean target set

Report: 'Brother-in-law' dabblers are giving 401(k) ground slowly to specialists in $1.3 trillion market

As $160-billion CAPTRUST makes a snack of $10-billion Pensionmark, Fielding Miller accelerates his roll-up plans with a liberal structure

How uncomfortable questions from prospects led a 'small' $12-billion 401(k) advisory RIA to finally say yes after eight years of rebuking overtures from a $120-billion AUA RIA

Abby Johnson tells RIAs to have all employees, up and down the chain, think client thoughts at Fidelity's 2014 Executive Forum

In red-hot 403(b) market, TIAA-CREF hires hundreds of advisors after RIAs, and Fidelity, pose new threats

Financial Engines more than doubles its share price by defining a niche in the 401(k) market between target date funds and RIAs

A $103 billion AUA RIA storms TIAA-CREF's Northeast stronghold by poaching a hotshot from a $30-billion RIA in Greenwichland

CAPTRUST wakes up the 401(k) industry by buying $1-billion advisor/recordkeeper that adds the 'magic' to its arsenal

10 most influential individuals in the 401(k) industry affecting RIAs in 2012, Part 2

Cerulli: RIAs and hybrid RIAs make giant advances on banks and wirehouses in the 401(k) race

After years of DOL bluster, new 401(k) rules appear to make RIAs' low expenses look higher than those of brokers

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