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Content tagged "Charles Roame"


Tiburon Strategic Advisors

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Tony Wood: We may be a minority owner, but we want to manage the firm and develop a business growth plan for them.

Dynasty is on the ground floor of a roll-up-like venture grabbing RIAs inside the largest accounting firms
Atlanta-based Method will parachute in to take over operational and management control of wealth managers providing advisory expertise their CPA-firm parents may lack

Thursday 4.12.12
Valerie Brown says that the deal cements Cetera's message about scale and diverse capabilities.

What the Cetera-Genworth IBD deal says about where these companies are headed
Cetera starts looking more like an IPO candidate and Genworth shucks a distraction from its asset-magnet TAMP

Thursday 1.12.12
Chip Roame: Envestnet has the opportunity to dominate wealth management technology.

Envestnet and Chip Roame forge stronger tie
The large outsourcer has installed the high-profile consultant on its board of directors

Tuesday 8.16.11
Bill Dwyer: They probably just wore us down. The press just asked for more and more access.

LPL opens focus11 to reporters for first time - with provisos
With the big IBD's business mix tilting more toward RIA custody, more open media policies seem to have followed

Friday 8.5.11
Larry Roth: We're attracting more interest and more advisors [than at any time] since I've been in the business. It's not luck. It is our size, scale and platform.

Larry Roth has AIG playing offense again in the advisor game
The CEO is looking for big acqusitions and ways to compete for big RIAs

Friday 7.22.11
John Moninger: We think we’ve struck a great balance.

LPL has a new high-margin, high accolade advisory platform but SAM's sticking around
Under Model Wealth Portfolios, the advisor stops picking investments, but they still pick strategies.

Tuesday 5.24.11
Chip Roame says wirehouses can overcome their tarnished brands but may stumble on their lack of a strategy.

10 things I learned at the fall 2010 Tiburon CEO Summit
Chip Roame puts wirehouses, new regulations and the economic downturn into perspective

Wednesday 4.27.11
Barnaby Grist: "We’re big enough where we can spend a lot of money. We’re ready to show the world. We want them to come look at us."

Cetera's big fee move with a game-changing twist
Barnaby Grist has been laying the groundwork for the incentives change for a year

Friday 3.18.11
Ed Simmons has a doctorate from Harvard and a 24-year tenure with Merrill Lynch. He became an RIA on Friday.

Merrill Lynch and Bank of America cultural tension may spin out a new round of breakaways, recruiters say
A big Maine team goes to HighTower; more Merrill brokers in pipeline, says Weissbluth

Thursday 2.24.11
Dale Brown is leading an expansion of the Financial Services Institute, the IBD's main lobbying group.

Nine things I learned as an RIA infiltrator in an IBD world
Squeezed by low-interest rates and high costs, IBD execs at FSI's OneVoice were looking to the RIA model with a little bitterness

Friday 2.4.11
Chip Roame: This round of financial advisor aggregators is far better capitalized, and has far deeper management teams – and boards of directors.

This generation of advisor aggregators puts the roll-up ghosts to bed, for now
Questions linger about what some firms will look like post-IPO or merger

Thursday 2.3.11
Shirl Penney: We wanted [the company] built to last rather than built to flip.

What exactly is Dynasty Financial Partners and why is the Smith Barney execs' startup gaining so much attention?
Some combination of a bold business model, powerful backers and good PR -- lawsuit aside -- made for a good break out of the gate

Monday 12.13.10
Charles Roame:  I think that the point is to make a partial public offering, frankly a minority one, create a public capital value and allow the firm to use additional stock to make acquisitions.

What to make of LPL nearing a successful -- but scaled back -- IPO
It made concessions on price but gaining a public valuation may be mission accomplished for now

Friday 11.5.10
Mike Lane: It’s really been our choice. We choose 14% of the advisors who contact us.

Dimensional Fund Advisors still has low RIA acceptance rate and stunning growth
The Santa Monica-based fund company is certain as ever of its mission -- and even more successful

Monday 9.13.10
Charles "Chip" Roame's high-caliber attendees and the longevity of the Tiburon CEO Summit are making it a new standard of smaller event.

Two upcoming elite industry summits promise elbow rubbing and brainstorming par excellence
Brian Hamburger is gaining momentum with his MarketCounsel events in the wake of Chip Roame's long-term success

Tuesday 9.7.10
Kevin Crowe: We think it's a real game changer

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
Jud Bergman: "There will be opportunities that we want to take advantage of to accelerate that growth."

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
Bill Crager: There's real business happening in the RIA market.

[Updated] 10 reasons why the Envestnet IPO filing is for real
The platform giant has a monopolistic position and the opportunity to pull away

Thursday 7.29.10
Kristina Fausti: We've entered a new regulatory era that calls for greater transparency and accountability.

How financial reform gives the SEC new bite; plus at least five other things advisors ought to know about the legislation
The new financial world will be constructed mostly out of the public eye, as regulators begin studying 150 issues Congress punted to agencies

Monday 7.26.10
Bill Crager: We do have a very large presence in the broker-dealer market, but most of the fiduciary work we've built will be delivered to the RIA market initially.

Envestnet is honing its business model -- and message -- as it drives toward an IPO
The giant product clearinghouse is recasting itself as a purveyor of fiduciary process

Wednesday 6.30.10
Barnaby Grist: If you fit into the LPL box, that’s a great place to be, but if you like to do things your own way, you probably want to go to an environment that’s more customized to your needs.

Cetera Financial shores up its technology as it prepares to take on LPL for big hybrid RIAs
The face-lift of the old ING broker-dealers is starting with a big investment in Advent Software

Wednesday 6.23.10
Mike Apker: We want advisors to think of us as a full outsourcing partner.

Envestnet buys a company to gain an edge with Schwab RIAs
The big TAMP's purchase is a move toward more generalized outsourcing

Monday 6.14.10
Rebecca Pomering: I would not say we have outsourced. We are using them as an additional source.

Why Moss Adams signed a big contract with Fortigent
The Seattle-based RIA is looking to grow investment capabilities without adding staff

Wednesday 3.24.10
James Poer: NFP Securities has undergone a vast evolution and now aims to serve a broader market.

With Schwab [and maybe Fidelity] as custody partners, NFP is positioned to make a run at the hybrid market
If NFP IndeSuite catches on, the success could make up for some struggles on the roll-up side of the business

Friday 3.19.10
Wayne Withrow: If IBDs see us growing their advisors, that is new growth for the broker-dealer also.

SEI has a new strategy for boosting 2010 sales and an analyst calls it a 'grand slam'
The big TAMP launched a national team in January to help independent broker-dealers

Friday 3.5.10
Roger Hartley and Keith Mitchell: We are fairly eclectic in terms of the types of businesses we think we can be helpful with.

New M&A firm with Putnam Lovell alumni appears on the wealth management landscape
Mitchell Hartley straddles world of asset management and wealth management

Tuesday 2.23.10
Derek Bruton is now in charge of LPL's hybrid business after years of RIA experience with Merrill Lynch, TD Ameritrade and Schwab

LPL's hybrid RIA platform is fast off the mark and names new leaders for 2010
The giant IBD has already surpassed Raymond James' RIA assets but Derek Bruton plans to build on momentum

Monday 1.25.10
Kevin Crowe: We’re operating on a model that looks like we did 10 years ago.

After a decade of unsteady results, SEI Investments is attracting financial advisors again
Wayne Withrow is taking a patient approach to growth that is helping the TAMP to regain trust among advisors

Tuesday 1.19.10
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

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