Articles published 1/2011
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Publish date
Fewer companies join Protocol as downsides emerge
Recruitment not a one-way street; a longer list means poaching within the RIA world becomes more likely
January 31, 2011 at 3:45 PM
Goodbye to Bob Margolis, true friend of independent advisors
A regular contributor to RIABiz, Bob died in New York City earlier this month
January 31, 2011 at 3:07 PM
The RIABiz list of winners and losers in the wake of the SEC's fiduciary study
The race is on as laggards adapt to new vision of the future
January 28, 2011 at 1:17 PM
Brian Stimpfl resurfaces in an entrepreneurial mode
The TD Ameritrade fixture teams up with Spenser Segal at Actifi; he took a few yoga classes
January 28, 2011 at 1:17 PM
Big advisors drive solid year for breakaway wins at Schwab, Fidelity, Pershing and TD
Aggregators drive momentum in 2011
January 27, 2011 at 2:54 PM
Sallie Krawcheck, A Recruiter’s Nightmare
Criticized and often at the center of a business storm, she has emerged as Wall Street's problem-solver -- and she's doing it again at Merrill Lynch
January 27, 2011 at 2:52 PM
HighTower makes an executive out of a partner to fine-tune advisor access to investments
Former UBS advisor will simplify the bewildering investment-related choices afforded by open architecture
January 26, 2011 at 3:57 PM
Winter winds hitting bond investors, China takes a pass, alternatives posted strong gains: Morningstar data
But fund categories that bond investors tend to favor when 'reaching for yield' were up nicely in December
January 26, 2011 at 3:56 PM
Investing in the Digital Age: Why real-time data is a must-have for RIAs and long-term investors
The investment industry has created a classist system of haves and have-nots when it comes to information
January 26, 2011 at 3:18 PM
Dynasty Financial Partners ends legal squabble with Bank of America, clearing deck for growth
The high-profile startup may have passed up chance to win its case, an attorney says
January 25, 2011 at 3:18 PM
In a triple merger, fast-growing Florida RIA scoops up an LPL advisor and a fellow asset manager to double firm size
More deals involving IBD advisors on the horizon as shift to fees makes combinations possible
January 25, 2011 at 3:16 PM
How a big Atlanta RIA kept sledding with technology after snow paralyzed the city
Where snow shovels left off, laptops, iPads, iPhones, NetX360 and some forethought took over
January 25, 2011 at 2:40 PM
IBD reps are new wave of breakaways to the RIA channel, say some recruiters and custodians
Schwab has a 45% jump in IBD teams in 2010; others see a similar trend
January 24, 2011 at 3:22 PM
(Updated) Groundbreaking SEC study would smash old regulatory system, creating fiduciary brokers and more regulated advisors
Controversy and conflict emerge as SIFMA, Schwab and others begin to react
January 24, 2011 at 3:16 PM
One-Man Think Tank: SEC courage likely to be tested in coming months
Study on fiduciary standard may be the most significant advance for investor protection in a half-century, but real progress will be made rule by rule
January 24, 2011 at 2:54 PM
Six things to know about this week's big DC news
RIAs have the winning business model, but also more competition
January 21, 2011 at 2:37 PM
Folio Institutional finds its winning formula for RIA custody in specialized trading technology
Ability to allow advisors purchases of partial shares has applications in 401(k), model portfolios and investments in Berkshire Hathaway
January 21, 2011 at 2:23 PM
How 10 top groups define 'fiduciary'
Obama administration, SEC, FINRA, FPA, fi360, U.S. Supreme Court and SIFMA raise fiduciary bar to different heights
January 21, 2011 at 4:24 AM
With a rebound in net flows from its biggest advisors, Schwab finishes 2010 with a flourish
Fidelity Institutional Wealth Services records a $100 billion asset jump
January 20, 2011 at 2:36 PM
(Updated) SEC presses case for user fees in much-anticipated report to Congress
While giving downsides for the idea of an SRO to govern advisors, the SEC opens the door for Congress to consider all options
January 20, 2011 at 2:36 PM
Considering hosting a radio show? The SEC may tune in.
Radio programs and commercials pose compliance complications. Disclosure helps.
January 20, 2011 at 2:30 PM
GAO study puts insurance agents up for scrutiny as it rejects idea of sweeping RIAs, b-ds, planners into one regulatory pool
A disappointment to those advocating for a financial planning profession, the study details the hodgepodge of regulation without recommending major changes
January 19, 2011 at 3:51 PM
After two years of defying the odds, Gordon Murray, co-author of The Investment Answer, dies of cancer
The DFA acoloyte helped take his book from idea to publishing phenomenon in six months
January 19, 2011 at 2:46 PM
RIAs are hiring like crazy in 2011 but sticker shock, picked-over talent pool may await laggards
The recession was so deep this time around that advisors may find good talent in the bread lines
January 18, 2011 at 2:56 PM
Asset Dedication, Mariner Holdings, California Investment Trust and BondDesk make key hires
Hiring moves by advisory business firms show labor market is picking up
January 18, 2011 at 2:48 PM
Advisor spotlight: How one advisor is building his practice to sustain a three-year sailing sabbatical
Having built two businesses and a $450 million book with a partner, Scott Leonard has made himself intentionally irrelevant now
January 18, 2011 at 2:28 PM
What advisors care about: technology, hiring, Schwab's lawsuit against a broker hit top RIABiz stories this month
A new platform for alternative assets, plus the regulatory moves expected this year also make the list
January 17, 2011 at 4:18 PM
The basic ETF trading practices that can save your clients money
How NAV-based trading will change the market
January 17, 2011 at 2:15 PM
Schwab takes high-profile stand opposing self-regulatory organization for advisors
Largest custodian opposes FINRA on heavily lobbied issue
January 14, 2011 at 3:09 PM
Advisory factions steel for end game as SEC's verdict on FINRA SRO comes down
As action moves to Congress, a flurry of meetings and Schwab's appearance
January 14, 2011 at 3:05 PM
Fidelity teams with Manpower to bolster RIA efforts to staff up
Custodians see advisory firms in hiring mode
January 14, 2011 at 1:33 PM
United Capital scoops up a $1.6 billion wealth manager from M&T
Quick, efficient deal, aided by top investment banker, may be the blueprint for growth-by-chunks for California aggregator
January 13, 2011 at 2:20 PM
In the duel of FINRA vs. state courts, one comes out on top for most advisors
Rarely seen stats shed light on whether you are more likely to win in arbitration
January 13, 2011 at 2:19 PM
After one-year hiatus, Focus Financial buys a large RIA and hits a milestone
The deal brings it to $40 billion as the company makes a big Midwest push
January 12, 2011 at 5:40 PM
YieldPlus fallout darkens advisors' view of Schwab as asset manager
Loyal custodial clients are skeptical after settlement and fraud charges
January 12, 2011 at 3:14 PM
How Schwab failed to block one broker's breakaway and what the legal battle may mean for the future
Industry insiders say they're stunned by a recent courthouse loss
January 11, 2011 at 2:53 PM
Rich Saperstein helps establish new strategy for HighTower Advisors as he transforms his own $10 billion practice
New York practice executes first 'tuck-in' with addition of Steve Bogner
January 11, 2011 at 2:51 PM
Advisor Tested: iPad proves ideal for advisors on-the-go; the surprise is the effect on clients
The rock star of the mobile world evolves into a tool for reassurance and retention
January 10, 2011 at 3:01 PM
Top marketing trends for 2011, and checklists for handling each
In the new year, sharpen your planning for staff turnover, prospecting, client communication
January 10, 2011 at 2:54 PM
Former Moss Adams star begins to taste success in the 'real' world
Philip Palaveev's Fusion Network finds revenue momentum and wins proselytizing advisors
January 7, 2011 at 1:54 PM
The 7 government actions that could reshape the advisory business in 2011
Funding may derail some grand plans, but regulations roll on (and so do tax threats)
January 7, 2011 at 1:49 PM
One killer Roth conversion strategy in seeking a single-digit tax return
Underlying the approach: The government has provided an option to “unconvert” converted Roths
January 7, 2011 at 1:43 PM
Orion Advisor Services goes mobile with advisor-branded apps for the iPhone and Android
App relies heavily on HTML5, in line with the trend for portfolio management mobile applications
January 6, 2011 at 2:22 PM
How Orion Advisor Services became a mobile device pioneer and how competitors plan to react
The first-mover edge may hold for a while for Black Diamond and Orion
January 6, 2011 at 2:19 PM
How 25 pieces of web content from 2010 should guide an advisor's digital approach for 2011
Top research, analysis and marketing that help humanize the financial services business are among Pat Allen's choices
January 6, 2011 at 2:19 PM
Buckingham expedites turnkey 401(k) strategy by buying a fellow DFA TAMP
Competitors for advisors' business (like that little company, Fidelity) aren't sitting still as demand surges
January 5, 2011 at 2:47 PM
Envestnet deepens relationship with PIMCO, BlackRock and other big guns of investment management
Wirehouse broker demand and the TAMP's critical mass help usher in the changes
January 5, 2011 at 2:47 PM
Big Midwestern RIA buys itself a national presence in deal with CBIZ
Mariner Holdings passes $8 billion of AUM; still eyeing $50 billion
January 4, 2011 at 3:07 PM
Advisor spotlight: A Chicagoland RIA shows how to weave a business out of revenue-sharing deals
David Hubbard thinks of himself as Johnny Appleseed, devising business plans to help fellow advisors grow
January 4, 2011 at 3:07 PM
U.S. Trust seeks to add hundreds of wealth managers with West Coast-facing poaching campaign
The challenges are obvious, but with Thong Nguyen directing the effort, the Old Money bank stands a chance in the land of nouveau riche, analysts say
January 3, 2011 at 2:39 PM
U.S. Trust’s latest hires and what’s expected of them
The venerable institution is promising a better life but no wirehouse-style bonuses
January 3, 2011 at 2:39 PM
RIABiz stories find a second home on one of the Internet's biggest news sites
Why that's good news for advisors, too
