Articles published 8/2010
Headline
Publish date
Fidelity wins converts to WealthCentral, but most of its advisors have yet to make the switch
The giant technology project is behind Fidelity's schedule but ahead of one analyst's expectations
August 31, 2010 at 12:53 PM
Old foes in the fiduciary debate join new battle to sway SEC's six-month study
Advocates were working down to the wire to submit comments by the end of yesterday
August 31, 2010 at 5:31 AM
Contrasting two breakaways: one a success story, one a cautionary tale
One broker lost 30% of his book. What can you do to avoid that fate?
August 30, 2010 at 4:24 AM
What articles are brewing at RIABiz
A sweeping RIA study and big RIA technology are in our spotlights
August 30, 2010 at 4:24 AM
How financial advisors should manage the record deluge of recruiter phone calls
Plus, how RIA firms can tell if they're retaining the right person to find candidates
August 27, 2010 at 2:00 AM
The nine things Schwab's new study shows about how big RIAs are managing client assets
Inflation fears have evaporated and advisor attitudes toward cash investments are bipolar
August 26, 2010 at 3:58 AM
Two years after taking blame for Wall Street's crisis, structured products are finding a place in RIA portfolios
A column that makes the case for a much-maligned investment vehicle
August 26, 2010 at 3:58 AM
What advisors should know about the next sweeping change: the switch from SEC oversight to state regulation
It could impose most on advisors spread out across multiple states
August 25, 2010 at 12:56 PM
9 things worth knowing from Schwab's newest advisor study
Social media is not catching on with big advisors but alternative investments are
August 25, 2010 at 12:50 PM
U.S. Trust advisor joins an RIA after surviving the firm's sale to Bank of America
Stacey Reinhart joins Emerson Investment Management to get back to basics
August 24, 2010 at 5:48 AM
How two big RIAs convinced two service providers to shift course on technology
Trust Company of America and Adhesion Wealth both listened to advisors with special requests
August 24, 2010 at 5:45 AM
SEI turns a big corner but Genworth is still the big asset gatherer
The top TAMP finally shows positive inflows after attracting double last year's new advisors
August 23, 2010 at 7:54 AM
Notes from the RIABiz one-year anniversary party
The spirit of the RIA Business was strong at this backyard event
August 23, 2010 at 7:13 AM
Raymond James seeks to raise client experience without raising advisor hackles
The job of Tim Killgoar is to have the corporation have its own positive relationship to end clients -- without infringing on its financial advisors
August 20, 2010 at 5:09 AM
Cetera finds talent again at Schwab to fill national sales director position
Barnaby Grist taps former colleague Mark Palmer for big job
August 20, 2010 at 1:42 AM
Advisor vs. Advisor: Two RIAs and two brokers advocate [a total of] four different ways of earning fees and caring for clients
Comment boards: Advisors argue separately for principles-based care, non-principles-based care, 12(b)-1 fees and their eradication
August 19, 2010 at 4:19 AM
One-Man Think Tank: A method for analyzing and comparing the costs and fees for mutual funds and ETFs
Fees weigh down the performance of a fund. Why don't more advisors pay attention?
August 19, 2010 at 4:19 AM
Signaling steady pace of breakaway broker movement, 20 new companies join the Broker Protocol
Among them: Cambridge Wealth Management, The ETF Store, Nationwide Planning Associates, NPA Financial Services
August 19, 2010 at 4:16 AM
[Updated] Former wealth manager for Montgomery Securities and Presidio Financial is remaking his [big] practice in wine country as an RIA
Michael Russo is signing clients and making hires from digs in Napa
August 18, 2010 at 6:25 AM
Former head of private client unit at Thomas Weisel Partners joins an RIA
Jeff Handy becomes part of Argos Wealth Advisors and reunites with old Montgomery Securities rainmaker
August 18, 2010 at 6:04 AM
Fast take on growth: Five tips on marketing and sales strategies that work amid fears of a double-dip
Financial Advisor's Summit speakers urge focus, authenticity -- and avoiding clichés. Don't say: We offer peace of mind.
August 17, 2010 at 9:10 PM
Study: Variable annuity providers show some gains in tackling RIA market
Cogent Research shows that RIAs gave VAs a chance in 2008 but the romance may be short-lived
August 17, 2010 at 3:48 AM
Why some people are so rich that they can sustain a tax increase and maintain their lifestyle
The merely rich really are not rich enough to pay more taxes but very, very rich people are, according to a New Yorker article
August 17, 2010 at 3:46 AM
How Envestnet may use its IPO to speed growth
The IPO cash positions it for capital-intensive deals and acqusitions, but the big TAMP may not be rushing in to anything
August 16, 2010 at 4:32 AM
Advisor spotlight: Vern Sumnicht was determined to diversify -- but it cost him
Investments in talent are beginning to bear fruit with a new firm that licenses model ETF portfolios
August 16, 2010 at 4:29 AM
The top LPL producer has a second RIA-related company that could eclipse the stature of the first one
Ron Carson started PEAK in 2001 and it's already grown to an impressive size
August 13, 2010 at 6:03 AM
A cap on 12b(1) fees is going to have one predictable result. Think carnival games.
What consumers need is not a cap, but some sunshine to disinfect mutual funds
August 13, 2010 at 4:10 AM
RIAs take short, BlackBerry-intensive vacations in the summer of 2010
Taking a break from the grind for advisors is more like business-lite as markets roil
August 12, 2010 at 3:51 AM
What do advisors care about? The new SEC that emerged in July, for one thing.
Plus, what a Smith Barney breakaway team is finding out about financial plans
August 12, 2010 at 3:50 AM
The 10 most likely contributors to the next market panic
Certain technical indicators point to a market bottom in seasonally weak September-October
August 11, 2010 at 4:29 PM
Robert Levitt is building a big RIA practice in Florida from France and Indonesia
Customers may pay a little more but get a very different investing approach
August 11, 2010 at 4:00 AM
Advisor: Muni's no longer seem the deal they once did, but some deserve a look (even in California)
One company's strategy for navigating a market that's grown more demanding
August 11, 2010 at 3:59 AM
Can Silicon Valley rewire the RIA business? eBay investors think KaChing is the answer
VC-backed start-up leverages the web to offer complete transparency; firm also has a back-end platform it's offering RIAs for portfolio management
August 10, 2010 at 3:48 AM
Four active marketing strategies that can lead to compliance trouble
How far can RIAs go with advertisements? Part deux
August 10, 2010 at 3:47 AM
Why Smith Barney is now the most target-rich environment for recruiters of breakaways
The biggest wirehouse's changes in branches, compliance and culture have opened the vault door
August 9, 2010 at 4:39 AM
Counterpoint: Intra-Wall Street recruiting by Morgan Stanley Smith Barney has picked up in the past 60 days
Results of reinvigorated efforts may show up on Labor Day
August 9, 2010 at 4:29 AM
One-Man Think Tank: Inside the due diligence that uncovered serious questions about a REIT
Ron's firm convinced an investor to sell his shares after an analysis that looked at the share redemption program
August 9, 2010 at 4:21 AM
New regulatory world dawns with oppressive ADV Part 2 form
Advisors were expecting it -- but that doesn't make it any more pleasant
August 6, 2010 at 7:53 AM
10 fund wholesalers and executives offer views about how they seek to add value for RIAs
To get advisors' respect and attention, these salesmen are morphing into consultants
August 6, 2010 at 7:52 AM
Tech Review: iRebal thrives after TD Ameritrade acquisition
The trailblazing rebalancer is tweaking its business model but staying focused on big RIAs
August 5, 2010 at 5:32 AM
Happy [first] Birthday RIABiz
After a year of formation, it's full speed ahead
August 5, 2010 at 5:18 AM
8 ways that the RIA business is achieving scale at breakneck speed
IPOs, venture capitalists, RIAs and big corporations are all spending heavily to make it easier for RIAs to become big business
August 4, 2010 at 5:40 AM
The population of high net worth individuals is growing again, at fastest rate in four years
New York remains king, but Houston is a fast-rising up-and-comer
August 4, 2010 at 5:40 AM
HighTower wins big UBS team and clinches 'critical mass'
The Chicago-based aggregator is breaking even and signing leases for more office space in three cities
August 3, 2010 at 4:25 AM
Black Diamond nabs a Schwab veteran as it gears up for new service approach
Fast-growing software provider is creating separate service team to transfer RIA performance history
August 3, 2010 at 2:53 AM
No eff-ing way: Goldman professionals can’t email profanely?
This is not a joke.
August 2, 2010 at 5:15 AM
With England playing catch-up in becoming more RIA-like, George Kinder moves his family to Europe
Demand for knowledge of how to act like an RIA is 'popping' across the pond and so the Buddhist consultant is meeting it
