Articles published 3/2010
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Publish date
Mutual fund industry may be too quick in declaring victory on the Supreme Court Decision
The standard is upheld but the people-with-muscle caveat is a true victory for investors, according to Tamar Frankel
March 31, 2010 at 6:24 AM
Advisor Spotlight: Lon Morton went from being a minor league baseball player to a major league RIA
Morton Capital Management gets referrals from both Schwab and a local bank that acquired it
March 31, 2010 at 6:23 AM
Fidelity plows ahead in the RIA business with overhauls of service, technology and management
Stagnant for more than a decade, the Boston-based RIA custodian has become a cauldron of dynamic change in last few years
March 30, 2010 at 6:05 AM
[Updated] David Brochu finds his lawsuit against Focus Financial is a rough experience
The Rhode Island RIA keeps up the legal battle to clarify the size of his firm's equity stake
March 30, 2010 at 5:58 AM
Newest additions to Broker Protocol
In four-day span in early March, seven companies joined
March 30, 2010 at 5:54 AM
RIA Central has launched its bid to be the Facebook of RIAs
Heather takes a close look at how Fugent has pieced together a pioneering effort
March 29, 2010 at 6:37 AM
InvestmentNews shows it means business in the consulting business
The news giant snags a Schwab employee and looks to expand its mission
March 29, 2010 at 5:37 AM
Fidelity delivers a white paper and a warning to RIAs regarding new cost-basis rules
Multi-custody arrangements and third party platforms can lead to troublesome data fragmentation, the Boston custody giant says
March 26, 2010 at 5:54 AM
IMCA fills out roster by nabbing yet another FPA talent
One Denver advisory association looks to the other for hires but the two organizations profess peace
March 26, 2010 at 5:53 AM
Encouraged by early success in New York, Edelman ramps up office openings
Big Virginia RIA sees an opportunity in wirehouse fumbling and he's grabbing it
March 25, 2010 at 5:27 AM
How BrightScope is using technology to create order in a messy 401(k) market
A San Diego-based company gives a peek behind the curtain of many of the 60,000 largest defined contribution plans
March 25, 2010 at 5:27 AM
Why Moss Adams signed a big contract with Fortigent
The Seattle-based RIA is looking to grow investment capabilities without adding staff
March 24, 2010 at 5:15 AM
Breakaway spotlight: Former Merrill Lynch broker uses just-the-facts approach to win business of scientists, engineers
Two MIT grads do the math for clients, including numbers that show 401(k)s lacking
March 24, 2010 at 5:10 AM
Part II: The things 11 through 20 that show the RIA market is really heating up in 2010
Everything from New York Times recognition to accelerating executive hires suggest the RIA realm is getting hot
March 23, 2010 at 5:46 AM
A newly emboldened Obama may yet win on financial services reform
Why some Washingtonians are wrong about the bill's prospects
March 23, 2010 at 3:53 AM
What an RIA needs to know now that health care reform has passed
Some tax increases kick in next year
March 23, 2010 at 3:43 AM
10 things that show the RIA movement is really heating up in 2010: Part I
Observers need a scorecard to keep track of all the advances that RIAs are making
March 22, 2010 at 4:59 AM
One excuse the SEC doesn't listen to: I was just following the crowd
Third-party rankings misleading without the context; here's how to give it
March 22, 2010 at 3:58 AM
Revised amendment aims to heal breaches in advisor community
New oversight for financial planners may be tougher for Senators to vote against because it is seen as pro-consumer
March 19, 2010 at 7:32 PM
With Schwab [and maybe Fidelity] as custody partners, NFP is positioned to make a run at the hybrid market
If NFP IndeSuite catches on, the success could make up for some struggles on the roll-up side of the business
March 19, 2010 at 2:36 PM
Blog battle: Vanguard 401(k) principal and president of 401(k)-tracker have it out over the Internet
Steve Utkus suggests a flaw in BrightScope's system and Ryan Alfred is having none of it
March 19, 2010 at 6:16 AM
How to market to women: Don't
One pioneer on how she sees her market -- hint: it's not a monolith
March 18, 2010 at 5:35 AM
Fortigent and Adhesion staff up to haul in bigger fish in the outsourcing market
Advisors who never considered outsourcing see it in a different light today
March 18, 2010 at 5:33 AM
Orion is outshining competitors in the eyes of some RIAs
The Omaha-based portfolio management outsourcer is winning on service and innovation
March 17, 2010 at 5:44 AM
Orion will take a page out of Facebook to help RIAs achieve better inter-office chats
The Omaha-based portfolio management outsourcer sees potential in co-opting social media methods
March 17, 2010 at 5:44 AM
Two senior UBS brokers pass on retirement to pursue aggressive breakaway plan
Huebner and Jagger are winding up, not down with multi-faceted growth strategy
March 16, 2010 at 5:10 AM
Senate proposal pushes most RIAs one step closer to state regulation
Senate and house bills now both seek to wrest 75% of RIAs away from SEC oversight
March 16, 2010 at 5:08 AM
FINRA and SIFMA win big for Wall Street with release of Senator Dodd's bill yesterday
The proposal is a 'devastating grant of authority to the SEC to write the rules'
March 16, 2010 at 5:07 AM
Fidelity names buck-stops-here service czar for all of its financial advisory channels
Maggie Serravalli is aiming for service quality consistency
March 15, 2010 at 12:56 PM
Black Diamond adds a Fidelity veteran to its sales team
Karen Lisowski will work from San Francisco
March 15, 2010 at 12:56 PM
A closer look at Orion Advisor Services' software and what's in store for its next release
Eric Clarke's Omaha company has wedged its way into the RIA consciousness with good reason
March 15, 2010 at 6:10 AM
How Royal Alliance won a big-time RIA after a string of losses
Rehmann Financial loves the AIG subsidiary's alliance with Pershing
March 12, 2010 at 7:03 AM
Which firms are joining the Broker Protocol, and how your firm gets on the list
Signing up is simple and firms can market their eagerness to recruit talent
March 11, 2010 at 6:11 AM
What the alternative is to ill-conceived Target Date Funds
The popular savings vehicle may be structured for bad performance
March 11, 2010 at 6:05 AM
Fidelity reorganizes its RIA business
Mike Durbin folds sales and relationship management together and two veterans depart
March 10, 2010 at 9:47 AM
Proposal would sweep RIAs, planners, brokers into one huge regulatory pool (Updated)
New board promoting the fiduciary standard would oversee 75,000
March 10, 2010 at 9:46 AM
Look before you leap: Six questions you must consider before becoming a multifamily office
Taking the attitude that any client with $25 million is a good client leads to trouble
March 9, 2010 at 5:58 AM
Constellation Wealth Advisors nabs a major rainmaker
Silicon Valley RIA practice hopes that Steve Bono can jump start its $4 billion practice
March 9, 2010 at 5:57 AM
Pershing is working to create a better alternative assets experience
The Jersey City RIA custodian believes a defined list of criteria gives it an edge
March 8, 2010 at 5:23 AM
Four questions that financial advisors and clients need to ask in a post-Madoff, post-meltdown era
Until hard questions are asked, people default to the old answers
March 8, 2010 at 5:23 AM
Why the New York Times fiduciary article won't deter the special interests
Consumer-protection regulations rarely get stiffer in the legislative process
March 5, 2010 at 6:26 PM
NY Times uncovers deeper fiduciary truth by interviewing wirehouse brokers
Yesterday's article in respected newspaper shows brokers themselves make no pretense about putting the client first
March 5, 2010 at 5:17 AM
SEI has a new strategy for boosting 2010 sales and an analyst calls it a 'grand slam'
The big TAMP launched a national team in January to help independent broker-dealers
March 5, 2010 at 5:17 AM
Mark Tibergien is making Pershing an industrial strength custodian with an RIA service touch
The feisty CEO of Pershing's RIA unit believes his offering will speak to big RIAs
March 4, 2010 at 6:47 AM
IRA assets could be ripped from the grasp of brokers if DOL has its way
With brokers disqualified, fee-only advisors may have 'phenomenal' opportunity to dominate $4.1 trillion IRA market
March 4, 2010 at 6:47 AM
Why the DOL's proposed 401(k) rules could ding brokers and leave the spoils to RIAs
SIFMA cries foul on the basis that such regulations would reduce people's access to retirement plans
March 3, 2010 at 7:16 AM
Sara Hansard will help RIABiz cover Washington
Veteran reporter brings knowledge and experience to complex regulatory issues
March 3, 2010 at 7:06 AM
Why Nick Georgis came back to Schwab and how the old hand may bring new vision
The former sales chief believes he is wiser after being away for six years
March 2, 2010 at 7:26 AM
The FPA's practice management event boasts two hot speakers in its first day
California entrepreneur and NSA star are among the top draws
March 2, 2010 at 7:19 AM
Nick Georgis returns to Schwab Advisor Services
The former head of sales will assume many of Barnaby Grist's duties
March 1, 2010 at 9:51 PM
Berkeley professor challenges United Capital directors to act more like managers and less like entrepreneurs
Eat-what-you-kill mentality won't take a company to the next level
March 1, 2010 at 7:26 AM
Four hot topics in compliance from the IAA conference
The mutual fund and ETF question gets looked at from a regulatory standpoint
March 1, 2010 at 6:33 AM
Top RIA lobbyist says insurance foes have been 'more effective' in fiduciary battle but urges patience
Neil Simon: Supporters of a strict fiduciary standard can prevail with an effective end game
