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Articles Published August 2009


Ric Edelman: The classic mistake is for an advisor to hire himself.

What lessons can Barron's #1 rated financial advisor teach us?
The practices of Ric Edelman, Ken Fisher and Adam Bold share similar approaches

Monday 8.31.09
Applicants for Barron's "Top 100" list jumped from 200 advisors to 560 advisors

The top 10 things you need to know about the new Barron's Top 100 List
Does Dow Jones' emphasis on advisor AUM harken to wirehouse production?

Sunday 8.30.09
I'm open to pitches from guest writers

Submit articles to RIABiz
Contribution policy is not elaborate

Friday 8.28.09
Eric Thurber, Fred Molfino and Brett Sharkey: Have a niche with VCs on Sand Hill Road

Citigroup share plunge triggers elite Smith Barney team to consider breakaway
Three Bridge Wealth Advisors go RIA route after competitor provides help

Thursday 8.27.09
Diahann Lassus: Model of regulation should help consumers

NAPFA faces test if 'fiduciary' status becomes norm
Amid brewing storm, there's an eerie calm at conference

Thursday 8.27.09
Adam Bold: We've found a world where people are in cash.

Branch openings at The Mutual Fund Store ground to a virtual halt
Pipeline of new franchisees starting to fill for 2010

Wednesday 8.26.09
Sallie Krawcheck: The Merrill Lynch culture will survive

New Merrill Lynch CEO stumps in Boston
Krawcheck stays with party line

Tuesday 8.25.09
Les Abromovitz: Twitter's 140-word limit leaves scant room for disclosures

Social media can turn regulatory exam into fiery wreck
Tweeting and Linking in are fair game for sharp-pencilled regulator

Tuesday 8.25.09
John Furey: Breaking away can still be a rough passage

The transition process is still too rough for gusher of breakaway advisors
Aggregators are showing the way in smoothing the bumps

Monday 8.24.09
Ken Fisher: We've never frozen hiring before

Ken Fisher resumes hiring but still has 'overcapacity' of investment counselors
Fisher's 'good year' in 2009 means more aggressive approach

Sunday 8.23.09
Barnaby Grist: It's the same growth rate as the last few years

Footnote to last week's breakaway article and a look ahead to Monday's article
Breakaways: Growth rate stuck in place

Sunday 8.23.09
Ric Edelman:Expects to double staff to 400 by end of 2010

RIA aims to take NYC with six new offices; Chicago, Detroit, SF, Miami to follow
Edelman move into greater Gotham is based on strong seminar response rate

Friday 8.21.09
Don Peters: Buying and borrowing from China is a broken economic model for the U.S.

Economy in worse shape than 2006
Financial advisors are taking the wrong signal from the stock market rise

Thursday 8.20.09
Ken Fisher: I've said that longer term I'd like to move my headquarters out of California

The world's largest RIA takes the cult-on-the-hill to the Washington state woods
Taxed by Silicon Valley, Ken Fisher may move his HQ

Wednesday 8.19.09
Can this bull act more like a cow?

Krawcheck's latest move called paper thin
New Merrill CEO cited as breakaway spark [new comments added 8-20-09]

Tuesday 8.18.09
Brooke Southall: Much more to come at RIABiz

How it's going at RIABiz after 10 days
Better-than-expected start energizes RIABiz team

Tuesday 8.18.09
Barnaby Grist: Big brokerage teams came out of hibernation

Breakaway broker signings rocket ahead in July
Big mood shift has brokers seeking the dotted line to become RIAs as stock market rebounds

Monday 8.17.09
Nevin Freeman: RIABiz webmaster and tech critic at large

Nevin looks under the NetX360 hood (Part 3 in a 3-article series)
Pershing achieves objectives of giant revamp and leaves room for upgrades

Friday 8.14.09
Norm Boone: Offers cheap way to get legally bulletproof

Norm Boone builds software company around investment policy statements
Veteran RIA uses financial logic to sway his fellow advisors

Friday 8.14.09
Mark Palmer: Surprised in general by Schwab's study results

Schwab study shatters three RIA myths (Updated story)
Rate of growth at RIAs plunges 60% in 2008

Thursday 8.13.09
Chip Roame: "Visionary projects are gone"

Tiburon Strategic Advisors' report pegs RIAs as maturing market
The good news: 'growing up' of RIAs means bigger asset inflows

Wednesday 8.12.09
Bernie Clark: Clients have "moved on emotionally" from wirehouses

Schwab: Breakaway uptick is part of secular trend (part 1 of 2 in series)
Breakaway pick-up is mere acceleration of awareness

Tuesday 8.11.09
Matt Lynch: Moving account to Pershing after it

Two Broker-dealers pick Pershing for hybrid tech after HybridOne comparison [part two of three in a series]
Capital Analysts and First Allied see true melding of hybrid assets at Pershing

Monday 8.10.09
Suresh Kumar: Black Diamond is best of breed

Black Diamond nabs Pershing account
Relative upstart software provider wins another high-profile account

Friday 8.7.09
Mark Palmer: Best RIAs had big buffer in downturn

Schwab RIA study debunks marketing myths [full story on hold]
New statistics give firms few excuses to skip biz development in hard times

Friday 8.7.09
Deflation can be a problem

Too much debt causes deflation, not inflation
Ingredients for a depression still linger

Friday 8.7.09
Brooke Southall: I separate brokers as people from brokers as an institution

Welcome to RIABiz on day one
Online publication for financial advisors debuts from Sausalito, Calif.

Thursday 8.6.09
Mark Tibergien: Plays role in marrying RIA and brokerage assets

Pershing puts RIA custody on desktop of thousands of IBD reps (One of three articles in a series)
Pershing makes mini-custodians out of broker-dealers

Thursday 8.6.09
Schwab, TD disclose magnetic effects

With big assist from RIAs, Schwab is still a net new asset magnet
Wirehouses keep net flow numbers to themselves

Thursday 8.6.09
WSJ: RIAs provide objective advice

Wall Street Journal explains RIAs in article
New RIA assets of $108 billion gets WSJ's attention

Thursday 8.6.09

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