News, Vision and Voice for
the Advisory Community

Articles Published August 2010

	Title	Date Published
	Fidelity wins converts to WealthCentral, but most of its advisors have yet to make the switch The giant technology project is behind Fidelity's schedule but ahead of one analyst's expectations	Tuesday 8.31.10
	Old foes in the fiduciary debate join new battle to sway SEC's six-month study Advocates were working down to the wire to submit comments by the end of yesterday	Tuesday 8.31.10
	Contrasting two breakaways: one a success story, one a cautionary tale One broker lost 30% of his book. What can you do to avoid that fate?	Monday 8.30.10
	What articles are brewing at RIABiz A sweeping RIA study and big RIA technology are in our spotlights	Monday 8.30.10
	How financial advisors should manage the record deluge of recruiter phone calls Plus, how RIA firms can tell if they're retaining the right person to find candidates	Friday 8.27.10
	The nine things Schwab's new study shows about how big RIAs are managing client assets Inflation fears have evaporated and advisor attitudes toward cash investments are bipolar	Thursday 8.26.10
	Two years after taking blame for Wall Street's crisis, structured products are finding a place in RIA portfolios A column that makes the case for a much-maligned investment vehicle	Thursday 8.26.10
	What advisors should know about the next sweeping change: the switch from SEC oversight to state regulation It could impose most on advisors spread out across multiple states	Wednesday 8.25.10
	9 things worth knowing from Schwab's newest advisor study Social media is not catching on with big advisors but alternative investments are	Wednesday 8.25.10
	U.S. Trust advisor joins an RIA after surviving the firm's sale to Bank of America Stacey Reinhart joins Emerson Investment Management to get back to basics	Tuesday 8.24.10
	How two big RIAs convinced two service providers to shift course on technology Trust Company of America and Adhesion Wealth both listened to advisors with special requests	Tuesday 8.24.10
	SEI turns a big corner but Genworth is still the big asset gatherer The top TAMP finally shows positive inflows after attracting double last year's new advisors	Monday 8.23.10
	Notes from the RIABiz one-year anniversary party The spirit of the RIA Business was strong at this backyard event	Monday 8.23.10
	Raymond James seeks to raise client experience without raising advisor hackles The job of Tim Killgoar is to have the corporation have its own positive relationship to end clients -- without infringing on its financial advisors	Friday 8.20.10
	Cetera finds talent again at Schwab to fill national sales director position Barnaby Grist taps former colleague Mark Palmer for big job	Friday 8.20.10
	Advisor vs. Advisor: Two RIAs and two brokers advocate [a total of] four different ways of earning fees and caring for clients Comment boards: Advisors argue separately for principles-based care, non-principles-based care, 12(b)-1 fees and their eradication	Thursday 8.19.10
	One-Man Think Tank: A method for analyzing and comparing the costs and fees for mutual funds and ETFs Fees weigh down the performance of a fund. Why don't more advisors pay attention?	Thursday 8.19.10
	Signaling steady pace of breakaway broker movement, 20 new companies join the Broker Protocol Among them: Cambridge Wealth Management, The ETF Store, Nationwide Planning Associates, NPA Financial Services	Thursday 8.19.10
	[Updated] Former wealth manager for Montgomery Securities and Presidio Financial is remaking his [big] practice in wine country as an RIA Michael Russo is signing clients and making hires from digs in Napa	Wednesday 8.18.10
	Former head of private client unit at Thomas Weisel Partners joins an RIA Jeff Handy becomes part of Argos Wealth Advisors and reunites with old Montgomery Securities rainmaker	Wednesday 8.18.10
	Fast take on growth: Five tips on marketing and sales strategies that work amid fears of a double-dip Financial Advisor's Summit speakers urge focus, authenticity -- and avoiding clichés. Don't say: We offer peace of mind.	Tuesday 8.17.10
	Study: Variable annuity providers show some gains in tackling RIA market Cogent Research shows that RIAs gave VAs a chance in 2008 but the romance may be short-lived	Tuesday 8.17.10
	Why some people are so rich that they can sustain a tax increase and maintain their lifestyle The merely rich really are not rich enough to pay more taxes but very, very rich people are, according to a New Yorker article	Tuesday 8.17.10
	How Envestnet may use its IPO to speed growth The IPO cash positions it for capital-intensive deals and acqusitions, but the big TAMP may not be rushing in to anything	Monday 8.16.10
	Advisor spotlight: Vern Sumnicht was determined to diversify -- but it cost him Investments in talent are beginning to bear fruit with a new firm that licenses model ETF portfolios	Monday 8.16.10
	The top LPL producer has a second RIA-related company that could eclipse the stature of the first one Ron Carson started PEAK in 2001 and it's already grown to an impressive size	Friday 8.13.10
	A cap on 12b(1) fees is going to have one predictable result. Think carnival games. What consumers need is not a cap, but some sunshine to disinfect mutual funds	Friday 8.13.10
	RIAs take short, BlackBerry-intensive vacations in the summer of 2010 Taking a break from the grind for advisors is more like business-lite as markets roil	Thursday 8.12.10
	What do advisors care about? The new SEC that emerged in July, for one thing. Plus, what a Smith Barney breakaway team is finding out about financial plans	Thursday 8.12.10
	The 10 most likely contributors to the next market panic Certain technical indicators point to a market bottom in seasonally weak September-October	Wednesday 8.11.10
	Robert Levitt is building a big RIA practice in Florida from France and Indonesia Customers may pay a little more but get a very different investing approach	Wednesday 8.11.10
	Advisor: Muni's no longer seem the deal they once did, but some deserve a look (even in California) One company's strategy for navigating a market that's grown more demanding	Wednesday 8.11.10
	Can Silicon Valley rewire the RIA business? eBay investors think KaChing is the answer VC-backed start-up leverages the web to offer complete transparency; firm also has a back-end platform it's offering RIAs for portfolio management	Tuesday 8.10.10
	Four active marketing strategies that can lead to compliance trouble How far can RIAs go with advertisements? Part deux	Tuesday 8.10.10
	Why Smith Barney is now the most target-rich environment for recruiters of breakaways The biggest wirehouse's changes in branches, compliance and culture have opened the vault door	Monday 8.9.10
	Counterpoint: Intra-Wall Street recruiting by Morgan Stanley Smith Barney has picked up in the past 60 days Results of reinvigorated efforts may show up on Labor Day	Monday 8.9.10
	One-Man Think Tank: Inside the due diligence that uncovered serious questions about a REIT Ron's firm convinced an investor to sell his shares after an analysis that looked at the share redemption program	Monday 8.9.10
	New regulatory world dawns with oppressive ADV Part 2 form Advisors were expecting it -- but that doesn't make it any more pleasant	Friday 8.6.10
	10 fund wholesalers and executives offer views about how they seek to add value for RIAs To get advisors' respect and attention, these salesmen are morphing into consultants	Friday 8.6.10
	Tech Review: iRebal thrives after TD Ameritrade acquisition The trailblazing rebalancer is tweaking its business model but staying focused on big RIAs	Thursday 8.5.10
	Happy [First] Birthday RIABiz After a year of formation, it's full speed ahead	Thursday 8.5.10
	8 ways that the RIA business is achieving scale at breakneck speed IPOs, venture capitalists, RIAs and big corporations are all spending heavily to make it easier for RIAs to become big business	Wednesday 8.4.10
	The population of high net worth individuals is growing again, at fastest rate in four years New York remains king, but Houston is a fast-rising up-and-comer	Wednesday 8.4.10
	HighTower wins big UBS team and clinches 'critical mass' The Chicago-based aggregator is breaking even and signing leases for more office space in three cities	Tuesday 8.3.10
	Black Diamond nabs a Schwab veteran as it gears up for new service approach Fast-growing software provider is creating separate service team to transfer RIA performance history	Tuesday 8.3.10
	No eff-ing way: Goldman professionals can’t email profanely? This is not a joke.	Monday 8.2.10
	With England playing catch-up in becoming more RIA-like, George Kinder moves his family to Europe Demand for knowledge of how to act like an RIA is 'popping' across the pond and so the Buddhist consultant is meeting it	Monday 8.2.10