Articles published 1/2017
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Jon Stein unleashes elite RIA referral unit as crown jewel of grand Betterment plan to sell virtual fiduciary advice
Robo's CEO names Vanguard, Fidelity and Schwab as market-share targets of his advice offensive across the full spectrum of affluence
January 31, 2017 at 10:11 PM
Why RIA clients still see alternatives as a 'mishmash' and 17 other cheat-sheet items for advisors in 2017
Rob Isbitts's well-researched quick takes that'll educate an RIA in 10 minutes on items from margin debt and corporate earnings to house-flipping
January 30, 2017 at 6:05 PM
The real Ron Carson story is that most assets went to Fidelity and TD Ameritrade where technology allows him to execute his vision
The big talk was the lateral move of some assets to Cetera but it was more a smokescreen for a breakaway
January 27, 2017 at 6:51 PM
New TD Ameritrade CEO, fresh from bank, will 'reassess' putting TD brand on products and redefining open architecture
Tim Hockey, poised to meet advisors in San Diego next week, allows that RIA business is a 'real gem' but may also be priming the pump to put more proprietary products on the shelves at 600 TD and Scottrade branches
January 26, 2017 at 11:05 PM
Susceptible to acerbic tweets, Wall Street women report back being happily exhausted, starving, determined and 'nasty'
But for one jarring tweet, three women call event epic but peaceful, and a sure-fire cure for that post-election funk
January 25, 2017 at 7:36 PM
While Advisor Group's high-powered organic growth strategy unfurls, Valerie Brown unleashes Steve Chipman to do the inorganic wet work of rolling up IBD orphans -- and maybe even some RIAs
Poached from Foothill Securities, Chipman cites his former employer as the reason he can talk the talk of his quarry -- smaller firm execs seeking a port in a fiduciary storm
January 25, 2017 at 3:53 PM
January 24, 2017 at 7:36 PM
January 24, 2017 at 7:21 PM
How a Schwabian picture is emerging as Bob Oros joins John Clendening as chief of 4,500 underachieving HD Vest reps
Ex-Schwab retail chief Clendening makes the ex-Fido RIA chief his new CEO -- with ambitious plans in an atmosphere of revenue-sharing, variable annuities and commission sales
January 24, 2017 at 12:17 AM
Wall Street women pile into buses and cars, head south on I-95 to protest Trump
Pack up that Nasty Woman T-shirt for a pre-dawn trip and client blowback be damned
January 21, 2017 at 2:06 AM
DOL rule will be undone, in a cruel twist, by the Department of Labor -- essentially by a Trump order to cut red tape by staying the Texas court case
Jason Roberts at Pension Resources Institute: It's the DOL itself saying 'maybe we got this wrong' as a means of giving cover to delay.
January 20, 2017 at 11:42 PM
How the Trump phenomenon boils down to the benefits of animal spirits vs. Animal House
Stay open to the possibility that tapping into our inner American rogue will yield untold benefits but be ready to hold the politicians accountable if the experiment fails
January 20, 2017 at 5:34 PM
The time is now for the investment industry to shed its shameless culture or pay a steep price
Enough feeble excuses and convoluted rationalizations for delaying the DOL rule
January 19, 2017 at 7:03 PM
Addepar secures Morgan Stanley account by winning a test of wills and unleashing a small army on Manhattan
Despite initial skeptics, industry pressure pushes first wirehouse into line, but will others feel the burn?
January 18, 2017 at 9:29 PM
A veteran securities lawyer takes contrarian stance that the DOL is still 'suitability' reworded, when boiling its 1,000-page 'rule' down to 16-page 'guide'
In prolix prose, the Labor Department's 'exemptions' sound like fiduciary exceptions; as poems, they sound like suitability-level loopholes
January 18, 2017 at 6:23 PM
First Republic pays $20 minimum wage in an act of altruistic self-interest
Owner of a $83.6-billion RIA roll-up, the San Francisco-based bank reacts to tightening labor supply, political pressure and its own good cash flow
January 17, 2017 at 8:36 PM
Ascensus appoints Christian Fulmino as VP of corporate development and M&A
Fulmino's CV includes stints at Broadridge and News Corp.
January 17, 2017 at 3:51 PM
Top ERISA and employee benefits law firm takes on new partner
Dan Brandenburg will join the Boston-based firm's D.C. offices
January 17, 2017 at 3:36 PM
Fidelity begins search for new RIA national sales manager as Bob Oros goes millennial, vacating a prized position
The kids pioneered the mindset but now the Oroses of the world grab quality-of-work, make-a-difference opportunities that their experience allows them to command
January 14, 2017 at 1:51 AM
Natixis and Fidelity alumna joins New England Investment & Retirement Group
Julie Colucci was also senior client associate at Silver Bridge Advisors, formerly Hale & Dorr Wealth Management
January 13, 2017 at 8:30 PM
'Jessie from Pennsylvania' blindsides a monotone Vanguard webcast and CEO McNabb deftly embraces his critic
The inquiring gadfly at the 2017 markets chat got in her shot about Vanguard's value proposition and the Vanguard chief humble-bragged about his company's problem of too much volume
January 12, 2017 at 10:33 PM
Who's afraid of Virginia Foxx and friends? Maybe pro-DOL forces should be but no panic yet
With nine days and counting until President Trump, Conservatives deploy fresh troops in Washington with guns trained on the DOL rule
January 12, 2017 at 12:49 AM
Why Valerie Brown is doing 19-whistlestop tour with her new CEO to sell -- ironically -- deep price cuts and a TAMP-for-millennials
The executive chairman and Jamie Price slash bond and ETF trading costs, roll-out robo-turnkey and create so-called NTF platform for brokers
January 11, 2017 at 2:26 AM
Michael Sperduto to cover Erie territory Ascensus as regional sales VP
The sales manager who was once an advisor was previously with ADP Retirement Services
January 10, 2017 at 8:23 PM
Andy Hockman to cover Ohio Valley as regional VP of sales for Ascensus
The 14-year veteran of sales in the retirement arena comes to the firm from CUNA Mutual Retirement Solutions
January 10, 2017 at 8:03 PM
Jason Miller joins Pentegra as regional director for Western region
The Great West alumnus will lead the business development efforts in Western states and Hawaii
January 10, 2017 at 6:35 PM
RIA value is exciting when the dynamism of moderation is understood and put in the right words
Registered investment advisors know that finding equilibrium isn't simply 'the middle' but a dynamic shifting process using mind and heart
January 9, 2017 at 10:14 PM
A wider window opens on David Zier tragedy as Convergent is made to pay and FINRA and SEC make themselves scarce
The life insurance on the suicide was executed with chilling precision by the ex-CEO and the CFTC was called in to do the regulatory dirty work
January 6, 2017 at 10:46 PM
Where RIABiz's view of RIAs as oases-of-ethics bumps up against the Merrill Lynch & Co. mirage -- and why that mirage is still so effective
Fiduciary watchdog Knut Rostad warns that RIAs must zealously expose wirehouses tricked out in best-interests-of-the-investor drag
January 6, 2017 at 6:33 PM
Why a broken RIA sales strategy is more of a repairable passion problem
Remembering your value busts up the dilemma of selling within a circle of friends
January 5, 2017 at 6:07 PM
After leaving Envestnet, Jay Hummel pops up at American Century with a 21st century plan
The former 'thought leader' is moving three children to Kansas City to more rapidly move the old-line mutual fund company to action
January 4, 2017 at 7:06 PM
Why 2017 dawns brightly for RIAs, an oasis of unflinching ethics in an ethics-optional atmosphere
The better part of registering with the SEC directly as an RIA is that nobody is making you do it and clients can feel it even if they don't fully understand your poorly phrased explanations
