News, Vision and Voice for
the Advisory Community
advertisement

Content tagged "Hamburger Law Firm"

Hamburger Law Firm

Filed under: Attorney, Regulatory Attorney, Specialized Breakaway Service
See full listing in the directory »

MarketCounsel

Filed under: Regulatory Consultant, RIA Set-up Firm, Compliance Expert
See full listing in the directory »

James Maher: From a conflict standpoint, it was very awkward.

Merrill Lynch team breaks away from Bank of America (yes, ironically) to get better access to bankers
James Maher is forming Archford Capital Strategies as a wealth manager that needs capital galore to unlock his clients' billions in assets from illiquidity

Tuesday 4.2.13
Ron Carson: It came to me that there was a better way to approach the industry.

The top 10 people to watch in the RIA business in 2012, Part 1
Forces changing the trajectory of the RIA movement

Monday 3.12.12
Brian Hamburger says the latent threat of FINRA is that RIAs will lose their individuality and become like big-box stores

Brian Hamburger answers the questions about an SRO future that has RIA stomachs in turmoil
The MarketCounsel Summit undercurrent revolves around FINRA fears, so Dina Hampton put the compliance expert on the spot about how the scenario could unfold

Friday 10.14.11
Brian Hamburger, founder of MarketCounsel's Member Summit 2011, expects 200 advisors with between $100 million and $1 billion in assets

MarketCounsel, CFDD, T3 and Schwab vie for advisors to attend their fall conferences
As competition for RIA time and money grows, many events are catering to more defined niches

Monday 9.26.11
Brian Hamburger: Rowe faces an uphill battle if he relied on oral statements.

RIA loses $10 million case against Raymond James the old-fashioned way
The case may have turned on the validity of written versus oral agreements

Thursday 8.18.11
Gary Davis: Our goal is to educate and drive the industry towards approaching compliance as a key part of the overall operations of the firm, not something to be addressed in a silo.

MarketCounsel buys Beneficial Concepts Group with an eye toward calming smaller RIAs' compliance fears
Brian Hamburger believes new regulatory challenges require new approach

Tuesday 3.22.11
Bank of America is trying to stop a giant private banker from waltzing away with $5.9 billion.

Bank of America throws a legal wrench at big wealth management start-up
U.S. Trust breakaway team headed by Mike Brown says it followed Protocol as it seeks quick transfer of $5.9 billion of assets

Friday 12.10.10
Columnist Frank Pizzichillo on the decision points that finally led a brokerage team to make the break.

The Leading Indicator: The story of an intern, a broker and what might be the longest breakaway sales cycle ever
Merrilll Lynch's odd ducks are the independent world's $400 million AUM swans

Thursday 9.16.10
Frank Pizzichillo: LLCs are king 'but there are situations in which an S-Corp may be appropriate and, much less often, where a C-Corp may be the way to go.'

The Leading Indicator: Do not forget corporate concerns in the transition to independence
The quick-hit S-Corp.-versus-LLC rundown for breakaway brokers

Tuesday 7.6.10
While executives from Goldman Sachs raised their right hands before Congress and attempted to artfully wordsmith their way out of selling “crap” to their customers, those that represent a better way of doing business gathered in Las Vegas.

The Leading Indicator: Breakaway lawyers turn the tables and invite RIA providers to their own conference
The business plan and the breakaway plan of RIA service providers are starting to look the same

Thursday 5.20.10
Matthew J. Schafer: It’s just playground rules at a time [when] duress or stress might be high.

SIFMA will take over administration of Broker Protocol list
Wachtell, Lipton, Rosen & Katz gives up reins of legal truce after list of participants balloons to 471 firms

Thursday 5.6.10
Charles Huebner: You can see it in their eyes. They say: You can tell what it is like to take the risk.

Two senior UBS brokers pass on retirement to pursue aggressive breakaway plan
Huebner and Jagger are winding up, not down with multi-faceted growth strategy

Tuesday 3.16.10
Patrick J. Burns: I'm not sure the SEC or FINRA has the stomach for a return to the days of heavy litigation.

Broker protocol may be endangered by complexities as membership starts to explode
Merrill Lynch, LPL and Ameriprise create addendums to once-sacred truce; they may spark an unfavorable trend

Friday 1.29.10
advertisement

From the RIABiz Directory »

The Industry Sourcebook for RIAs

RIABiz
Archives »

2013:
   May
   April
   March
   February
   January
2012:
   December
   November
   October
   September
   August
   July
   June
   May
   April
   March
   February
   January
2011:
   December
   November
   October
   September
   August
   July
   June
   May
   April
   March
   February
   January
2010:
   December
   November
   October
   September
   August
   July
   June
   May
   April
   March
   February
   January
2009:
   December
   November
   October
   September
   August

By Author:
   Brooke Southall
   Lisa Shidler
   Dina Hampton
   Kelly O'Mara
   Heather Underwood
   Nevin Freeman
advertisement

Common Tags »

Schwab (338)
Fidelity (246)
TD Ameritrade (207)
LPL (128)
SEC (125)
Pershing (121)
Merrill Lynch (100)
Advent (88)
FINRA (84)
Black Diamond (84)
Tim Welsh (77)
HighTower (75)
MarketCounsel (68)
Envestnet (68)
Brian Hamburger (65)
Focus Financial (63)
Les Abromovitz (57)
Ron Rhoades (54)
Nexus Strategy (49)
Bernie Clark (49)
Mark Tibergien (48)
401(k) (46)
Tamarac (46)
Raymond James (45)
Mike Durbin (45)
United Capital (43)
Charles Goldman (43)
UBS (42)

Most Emailed Stories »

Read 
Story » Cathy Curtis: My goal is to have prospective women clients find me on LinkedIn.RIAs recount how they reap new clients using LinkedIn and Twitter, stealing a march on shackled wirehouse advisorsRead 
Story » Grant Barger: Any prospect should ask: What is your purpose?5 questions advisors must prepare to answer to remain relevant Read 
Story » Phyllis Borzi: We thought we hadn't done enough.Borzi: Exemptions from conflict of interest will be part of new fiduciary proposal Read 
Story » Mark Tibergien: It's been a dream of ours.Pershing and BNY Mellon unveil a unified, 'dream' RIA and bank custody unitRead 
Story » Sallie Krawcheck: I worry our industry will become the Republican party -- with middle-age white guys talking to middle-age white guys, saying that we need to change.At Envestnet event, Sallie Krawcheck alludes to Crager alliance, blasts women-as-niche marketers and edges perhaps closer to endorsing the RIA model