Articles published 3/2011
Headline
Publish date
First Allied pushes the advisory envelope with hire of LPL executive
Yanni Bousnakis will help Matt McGinness fashion a way for advisors to manage on a discretionary basis at the IBD
March 31, 2011 at 2:14 PM
How ETF Trends' Tom Lydon went from blog writer to hirer of veteran Dow Jones talent
Looks to double content, reach traders and build on 17,000 subscribers
March 30, 2011 at 2:52 PM
Advisor spotlight: TD Ameritrade referrals help turn quiet advisory into a fast-growth operation
Chatham Wealth Management doubles assets in two years
March 30, 2011 at 2:45 PM
How suitable are your investment strategies? The SEC cares, a lot.
New ADV form heightens attention to the issue
March 30, 2011 at 2:19 PM
Virtually all big IBD reps covet the independent RIA life, Schwab study says
Schwab's Bernie Clark and TD's Tom Nally see IBD reps undergoing a palpable mood switch, but Fidelity's Mike Durbin and Pershing's Mark Tibergien are unconvinced
March 29, 2011 at 1:31 PM
Wake-up call: ETFs feel the heat of NASSA's exotics panel
Beloved for their stellar qualities by RIAs, they are nonetheless the casino chip du jour for many traders
March 29, 2011 at 1:26 PM
Envestnet to zero in on RIAs and family offices
Two new hires from Fidelity's National Financial and Fortgent LLC reflect the outsourcer's strategic direction
March 28, 2011 at 2:18 PM
Bob Veres' level-headed response to Mark Hurley on valuation
Conflicts of interest are culprits in the extreme positions being taken in the debate, he says
March 28, 2011 at 2:10 PM
Radio-star RIAs drive giant growth at national chains one $400,000 investor at a time
Edelman and Mutual Fund Store each surpass $6 billion of assets and, post-recession, they're throwing up stores with abandon
March 25, 2011 at 1:12 PM
A hockey star went from being a Merrill Lynch client to a Merrill Lynch advisor to the latest Merrill Lynch breakaway
Despite misgivings for 20 years, Dave Emma stayed largely for the culture and then Bank of America came along
March 25, 2011 at 1:11 PM
How capture ratios can help you prepare for the next downturn
A tool little noticed by investors can help you determine which investment style works in which market
March 25, 2011 at 1:06 PM
In a Q&A, Todd Thomson explains why Wall Street's glitter faded beside Dynasty opportunity
The former Smith Barney chief is mentoring his young colleagues and raising capital from Wall Street veterans
March 24, 2011 at 2:51 PM
RIABiz goes to New York in search of RIA life in the land of investment banking giants
The ambitions of Dynasty Financial's Shirl Penney and Focus Financial's Rudy Adolf match the city's scale
March 24, 2011 at 2:29 PM
Junxure moving to the cloud amid market pressures
In an unusual move, CRM Software's Greg Friedman pre-announces the product release by nearly a year
March 23, 2011 at 2:18 PM
Mark Hurley takes on Bob Veres in round two of the valuation debate
Veres 'fanned the flames' but didn't account for certain key points, like the rising cost of labor and the expense of winning new clients, says Hurley
March 23, 2011 at 2:00 PM
Fidelity slips in ahead of Pershing on Google phones with WealthCentral for Android
Functionality is just like the iPhone version, with no mobile trading yet
March 22, 2011 at 2:52 PM
MarketCounsel buys Beneficial Concepts Group with an eye toward calming smaller RIAs' compliance fears
Brian Hamburger believes new regulatory challenges require new approach
March 22, 2011 at 2:26 PM
Is your alpha big enough to cover its taxes? A classic journal article, revisited
Still true, nearly 20 years later: The lack of tax-savvy among advisors hurts clients
March 22, 2011 at 2:20 PM
E*TRADE unwinds its RIA roll-up, and a giant RIA rises in the Boston burbs
Mark Hurley chips in the cash and Liz Nesvold sells Kobren for a second time
March 21, 2011 at 2:53 PM
Advisor Spotlight: Monument Wealth Management shows that A-plus office space isn't just for ad agencies and law firms
The former Merrill brokers moved to a bedroom community but kept the urban chic
March 21, 2011 at 2:34 PM
Cetera's big fee move with a game-changing twist
Barnaby Grist has been laying the groundwork for the incentives change for a year
March 18, 2011 at 1:51 PM
The ABCs of doing due diligence on fixed income annuities
State regulators are stepping up as the SEC, reigned in by Dodd Frank, retreats on regulation of fixed income annuities
March 18, 2011 at 1:44 PM
Merion Wealth Partners, Cambridge Investment Research and Mariner Holdings make hires with big-league experience
New employees come from Envestnet, Janus and JPMorgan
March 18, 2011 at 1:35 PM
Black Diamond wins a $4-billion RIA right in Advent's backyard
Presidio execs said they appreciated Peter Hess's involvement, but passed on fellow San Francisco firm
March 17, 2011 at 2:17 PM
How BlackRock plans to grow iShares using advisors as one key
The New York powerhouse will focus on helping RIAs that are heavy users to succeed
March 16, 2011 at 2:50 PM
Would the intern buy an ETF?
After an investigation into ETFs, Matt Robinson, RIABiz's intern from the fall, says he wants the low-stress approach to investing
March 16, 2011 at 2:49 PM
Advisor Tested: Top iPad apps for RIAs
Dragon Dictation, Time Tracker and, surprisingly, iTunes are among those cited by advisors
March 16, 2011 at 2:32 PM
Bob Veres adds his bottom line to valuation debate started by Mark Hurley
If you build it, what will they buy it for?
March 15, 2011 at 12:30 PM
Pershing keeps ahead in the mobile space with an Android app and mobile trading
The adoption rate by advisors is still very small but the big clearing is undeterred
March 15, 2011 at 12:30 PM
Commonwealth raises payouts for big advisors and slashes trading commissions
The IBD is competing with LPL, holding ground against RIAs and flexing its muscles, analysts say
March 14, 2011 at 2:09 PM
Investing In the Digital Age: How RIAs could start a free-data revolution and why it won't bankrupt the vendors
Data suppliers and software vendors in the investment space are the biggest laggards
March 14, 2011 at 1:55 PM
Tsunami hits RIABiz and hits home
The wave struck my houseboat but its potency lay in the psychic effect
March 12, 2011 at 12:58 AM
Once-sleepy National Advisors Trust has a sparkling year for net new assets
The RIA-owned firm is getting a boost from the SEC's Madoff-inspired custody rule, a new CEO and its own critical mass
March 11, 2011 at 3:29 PM
Eavesdropping on the IAA: JP Morgan exec challenges advisors on FINRA
SRO remains overarching concern; many advisors haven't finished their ADVs; anxiety rises about 'the switch'
March 11, 2011 at 3:26 PM
TAMP assets came easily to Genworth, Envestnet and Loring Ward in 2010 and the fourth quarter sizzled
Giant SEI had a big turnaround but ended on a down quarter
March 10, 2011 at 5:38 AM
Mississippi lawyer Mercer Bullard volunteers to form an RIA SRO and nobody's laughing it off
IAA won't join forces; annual cost to run an SRO could top $150 million
March 10, 2011 at 5:37 AM
Giant of the broker-dealer tech world takes aim at Advent
Vestmark tailors its platform for RIAs to take advantage of breakaway trends
March 9, 2011 at 3:21 PM
Hellish memories: Advisors recall rock bottom, March 9, 2009
On the day a zero-market seemed possible, sleep-deprived advisors tried to stop their clients from bailing out. Sometimes they failed.
March 9, 2011 at 3:18 PM
A Q&A with Phyllis Borzi, the DoL powerbroker aiming to remake the retirement market
Borzi says she is pushing through Bush administration initiatives; her expansion of the fiduciary standard is drawing ire
March 8, 2011 at 3:24 PM
Milwaukee Wealth Management was born when Jeff Geygan's investing strategy hit the UBS wall
A value devotee, his picks at times conflicted with the wirehouse's research department
March 8, 2011 at 2:42 PM
What not to do during a state or SEC audit
The four tempting -- but ultimately counterproductive -- tacts advisors sometimes take
March 8, 2011 at 2:37 PM
Cambridge, Commonwealth see reverse breakaways due to compliance fears
Some IBDs are morphing into Super RIAs that make money by charging for oversight of fee-based assets
March 7, 2011 at 1:29 PM
New Fidelity survey shows advisors are running scared about compliance costs
RIAs, compliance experts and a research group diverge wildly on future costs but a baseline increase in the single-digit thousands seems inevitable
March 7, 2011 at 1:28 PM
Eavesdropping on the FPA Business Solutions conference: Mobile apps, web-based marketing -- and how you can make the most of the connected world
At the conference-within-a-conference, advisors explored a tech ecosystem
March 7, 2011 at 1:26 PM
Fidelity launches gigantic referral database to give advisors a shortcut to wealthy prospects
Advisors gain from referrals, but hate asking for them
March 4, 2011 at 3:30 PM
Beacon Pointe launches advisor-aggregating effort with first deal in Arizona
TD Ameritrade is 'in the foxhole' in this venture and will send many referrals to these advisors
March 3, 2011 at 6:34 PM
West Coast talent grab: Cetera hires an LPL exec and Presidio Financial makes a big hire from NY-based Offit
Allison Couch and Paul Boscacci get recruited; their new employers have well-publicized growth plans
March 3, 2011 at 3:29 PM
Walt Bettinger's big moves drew RIABiz readers in February
TD Ameritrade's sunny conference also made the top 10 in February, along with a retirement-world story that seems a harbinger of a changing market
March 3, 2011 at 3:15 PM
How LPL lured advisors from Raymond James, UBS and Ameriprise to its hybrid RIA platform
The big IBD is rapidly growing an RIA custody unit with advisors who want to do fee business in a brokerage environment
March 2, 2011 at 3:00 PM
DOL's proposal puts the screws to legacy 401(k) providers
As SPARK, SIFMA, others cry foul at yesterday's hearing, RIAs may be sitting pretty with the right fiduciary framework in place
March 2, 2011 at 2:31 PM
Pershing study: Why the IBD talent market is headed for trouble and what might reverse the trend
As broker-dealers lose reps, they all have the same strategy for replacement: poaching each other
March 1, 2011 at 6:12 AM
How MetLife Securities may use one new Philly rep to boost talent retention and development
Firstrust Financial has cracked the code of collaborating with a community bank
March 1, 2011 at 6:10 AM
One-Man Think Tank: Four red flags in the SEC's fiduciary report
The standard may help right an economy overweighted by finance, but there's a strong chance Wall Street will block it
