Articles published 8/2013
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LPL flaunts its Dell effect to 3,000 advisors in San Diego at focus13 confab
Newly installed CIO and ex-Dell star Victor Fetter shows he means business at the IBD's annual conference
August 29, 2013 at 7:03 PM
Fidelity and TD Ameritrade show new teeth in RIA advertising -- albeit with giraffes, and children on summer porches
On the heels of Schwab's 'owning it' campaign, Fidelity aims to catch (and repaper) RIAs and TD goes for the soft belly of the industry
August 28, 2013 at 7:36 PM
Washington Wealth, now part of the LPL OSJ realm, annexes a $220-million-AUA team in Seattleland
The ex-Wells Fargo team chose the name Kimball Creek to highlight its Northwestern roots -- but it's also a metaphor for the high the stakes their clients face
August 27, 2013 at 1:28 PM
A sometimes defensive Bernie Clark makes four points pertaining to Schwab's RIA custody business in an update to Wall Street
The overseer of Schwab RIAs explains the San Francisco giant's difficult-to-do-business-with reputation and the long rollout of SII
August 26, 2013 at 5:24 AM
After more than two years of radio silence, Mark Hurley pings with a stake-taking in an under-the-radar RIA
The writer of firebrand reports describes his own company as 'boring' -- questionably -- but lately has lived up to his billing
August 23, 2013 at 5:15 PM
Banyan reels in two more RIAs pushing its assets across the $4 billion line -- now comes the challenge
Peter J. Raimondi gets closer to his dream of creating a national firm with acquisitions of firms with a combined billion in AUM
August 23, 2013 at 5:14 PM
LPL Financial tells its faithful in San Diego that a fuller-service, more dependent model will get corporate support
With Philip Palaveev overseeing the project, LPL is working to install more management expertise in the crazy-growth OSJs it both supports and competes with
August 22, 2013 at 3:46 AM
A $4.7-billion RIA-under-investment-bank in NYC softens its macho edge by headhunting a top woman from GenSpring
Evercore will make Jewelle Bickford a partner and the gem of its outreach to the other gender
August 21, 2013 at 5:40 AM
AMG delves deeper into the RIA business with second deal -- of $4-billion player in NY
Its purchase of a stake in Clarfeld Financial Advisors, Barron's No. 3, shows the Veritable deal was, indeed, a warm up
August 20, 2013 at 3:18 AM
Legal analysis: Why the Yale 401(k) letters, limits aside, should raise an alarm to plan sponsors
Ayres may not have it all letter perfect but his basic points have a legal basis
August 19, 2013 at 5:27 AM
Fidelity Investments puts hard numbers on the disgruntlement of 401(k) plan sponsors -- and launches Z shares with ETF-like prices
Advisors are gaining some ground but the crunch of fees and service on plan purveyors gets worse and worse
August 16, 2013 at 5:32 AM
As LPL Financial braces for a share sell-off and loss of two directors, a Citi analyst says it'll be good
Hellman & Friedman will shed all of its 12.6 million shares to 'partners' and TPG will reduce holding to 17% of LPL's float
August 15, 2013 at 4:46 PM
Five reasons why 'summer-is-slow' is no excuse for an advisor to slow down
If you want to mail it in for a couple months, fine, but know that you're missing a chance to get real things done minus the distractions
August 15, 2013 at 5:28 AM
Charles Goldman makes a green investment that involves black and white analysis
The ex-Schwab and ex-Fidelity RIA chief sees a future for a tiny fund that Morningstar rated in the top 1% of 182 in its first three months of existence
August 14, 2013 at 4:44 AM
Morningstar takes a big stake in a startup gunning to be the Bloomberg for RIAs
Flush with $8 million in VC dollars, YCharts is betting that its data feed and content can challenge the Bloomberg behemoth by filling a hole for wealth and hedge fund managers
August 13, 2013 at 5:35 AM
An X-ray of one affluent, educated and sophisticated investor's portfolio shows how it was chewed up by fees
Helping an ex-Fortune 500 retiree prepare for her appearance before Congress, the author waded through a mountain of paper only to discover that the woman was likely to outlive her portfolio
August 12, 2013 at 3:47 AM
Abby Salameh joins LPL's largest branch office
John Hyland is hiring the veteran RIA business marketer after a long search
August 9, 2013 at 5:09 AM
A few things I learned about the Raymond James RIA effort in an NYC sit-down with Bill Van Law
The St. Petersburg, Fla. company's appraoch to the RIA business will be to do more for bigger RIAs that hunger for fuller custody service
August 8, 2013 at 5:59 PM
Davis Janowski gets scooped up by Wealthfront
The longtime IN technology voice will now straddle Silicon Valley and the East Coast in a new role
August 7, 2013 at 11:51 PM
Cogent study shows one big RIA distinction getting swallowed up -- or not
It'll be a head-turner if, in fact, two-thirds of all retail assets are fee-based in 2015, but there may be more to the story
August 7, 2013 at 6:35 PM
A $2.3-billion RIA in San Diego continues to grow as it hires talent from national powers -- this time a known Schwab quantity
Dowling & Yahnke last recruited an esteemed Deloitte partner and now its a pedigreed Schwabie
August 7, 2013 at 5:43 PM
How Schwab's new 'owning it' advertisements position the firm to offer more advice -- and how RIAs factored into the brand rethink
CEO Walter Bettinger wants his company, long a kingpin in the discount brokerage realm, to become a 'challenger brand' again
August 6, 2013 at 2:32 AM
A veteran DFA exec tells what enduring RIA success is made of -- and why the next-gen advisors will not disappoint
Dave Butler's front row seat on dozens of highly effective firms allows him to look past the surface to see what runs deep
August 5, 2013 at 2:14 AM
RIA TAMP for insurance agents hits a quick $700 million AUM then opts for Orion software
With 50% annual growth and 215 IARs, Brookstone made the switch from Albridge
August 2, 2013 at 3:27 AM
Why the 'naked fear' from a Yale law professor's letters to 401(k) plan sponsors is still present
The threatening, finger-pointing nature of the epistles drew the blood, the lack of a remedy to the attack from New Haven keeps the wound from healing
August 1, 2013 at 5:49 PM
Ron Rhoades, a lawyer, asks: Has Sheryl Garrett invented an RIA future of attorney-like comp?
Members of the Garrett network find pitfalls using flat fees and hourly fees (people want to kill lawyers, remember?) but a template for a fiduciary future may be taking shape
