News, Vision and Voice for
the Advisory Community
advertisement

Articles tagged "Charles Goldman"


Natalie Wolfsen steps into a position tailored to her marketing and product-management strengths

Natalie Wolfsen is leaving New York to reunite with Charles Goldman out West
The ex-Schwab, ex-Pershing product exec assumes Myra Rothfeld's duties and then some

Tuesday 5.13.14
Steve Anderson became RIABiz' top Q1 newsmaker when he announced his firm had 'fired' $25 billion worth of 401(k) clients.

How rising RIA super-bloggers, 401(k) brush fires and a short RIA-Salesforce courtship captured RIABiz readership
As we examined our top 10 articles Q1, the common denominator was ... an RIA intangible that you know when you see

Thursday 4.24.14
Charles Goldman: We bought the firm hoping the CEO would be there.

Charles Goldman speaks from the CEO Summit hotel about what he didn't see coming at AssetMark and how it changed his life
The Fidelity and Schwab veteran is criss-crossing the country as managing principal rather than part-time coach

Thursday 4.10.14
David Welling: The large firms are starting to outsource. I feel like the momentum is building. We're in a great spot.

Black Diamond blows the lid off asset growth in Dave Welling's first year in charge
Assets jumped about 65% and the former Schwabbie says that growth is accelerating

Wednesday 2.26.14
Charles Goldman: We're not going to just toss the salad.

Gurinder Ahluwalia to step out, Charles Goldman steps in, as AssetMark CEO
Myra Rothfeld also departs as Goldman sets his sights on software, service revamp

Monday 1.13.14
Charles Goldman: Any company on the block for a year ... that's not good.

Charles Goldman becomes board chairman for Genworth Financial Wealth Management after playing a mastermind role in its purchase by private-equity buyers
The Advizent co-founder and former Fidelity and Schwab RIA chief sees potential to jumpstart the $20-billion TAMP after its two-year slump

Monday 10.7.13
Charles Goldman: I believe entrepreneurs are the best solutions to hard problems.

Charles Goldman makes a green investment that involves black and white analysis
The ex-Schwab and ex-Fidelity RIA chief sees a future for a tiny fund that Morningstar rated in the top 1% of 182 in its first three months of existence

Wednesday 8.14.13
Steve Lockshin: I think we were surprised at the resistance from the entire industry.

What led to Advizent's end and why Steve Lockshin is unfazed, even energized
The RIA business -- including custodians, asset managers and advisory firms -- lived up to its reputation of resisting cooperation

Wednesday 5.15.13
Like the almost-completed Freedom Tower, as seen from the Ritz-Carlton at Battery Park, the RIA channel continues to grow in Wall Street's backyard.

From a Wall Street perch, Chip Roame imparts wry skepticism anaerobically at Tiburon CEO Summit of 2013, spring edition
The independent channel is booming -- but objects in the mirror may still be in front of you, the Tiburon guru warns

Wednesday 4.10.13
Charles Goldman: Once you take someone else's money, you have a commitment.

Advizent will close its doors after a final flurry of negotiations
Charles Goldman and Steve Lockshin had a moment of truth after receiving offers for funding

Thursday 3.28.13
Jack Bogle was lending his experience and reputation to Advizent.

Jack Bogle steps aside as senior standards chairman at Advizent
The Vanguard legend reportedly had competing interests for his time

Friday 12.28.12
Readers most 'liked' a May story that featured an enigmatically unpeopled office (think IPO cash) and some old fashioned gumshoe reportage.

RIABiz' 10 most-read stories of 2012: What fascinated you and why
Facebook, fallout from DOL's new 401(k) regs and happenings at Advizent, Addepar and Windhaven were reader catalysts

Wednesday 12.26.12
Michelle Draper: Bringing in other custodians to RIA Stands for You is still on the table.

Schwab is set to connect RIAs outside its referral network to HNW investors through its 'Got-milk'-style campaign
RIA Stands for You will use things like digital New Yorker ads, messaging and candid videos with RIAs is funneling down to phone calls from virgin prospects

Monday 11.19.12
Philip Palaveev: Wirehouses would be wise to explore the opportunity to brand the teams alongside the national brand and to create compensation structures that give team captains control over the hiring and compensation of their team members.

The 10 things Morgan, Merrill, UBS and Wells Fargo could do if they really, really wanted to stem the RIA tide
Advisors are happy to hand over the blueprint to wirehouses because they're certain the firms are too fainthearted to execute it

Tuesday 10.9.12
Tyler Cloherty: Without organic growth, they'll continue to lose on both hands.

The prognosis for Morgan, Merrill, UBS and Wells is even grimmer than the negative hype, Cerulli report shows
The wirehouses have stopped training, are ruthlessly chopping lower producers. and many advisors they'd like to keep march out the door

Tuesday 10.2.12
Charles Goldman: The number of hybrids has been tapering off and it's been tapering off for a while.

How Charles Goldman, Philip Palaveev, Brian Hamburger and Tim Oden -- and my cabbie -- caught my attention at MarketCounsel Summit
Tussles over scale, branding and professional service played out vividly in Vegas

Friday 9.28.12
Joe Duran: Your competition will not be Merrill Lynch. It will be the big players with value that you can't match.

Joe Duran lays out his latest case for why wirehouses -- and classic RIAs -- risk losing out to a coming oligopoly of new-model holistic firms
The coming 'life management' model won't be addressed by the big guys or the little ones in this very young industry, says the United Capital CEO

Friday 9.21.12
The M Resort is a sufficient RIA magnet -- though it shares characteristics with a suburban metroplex

'Ocean's Eleven'-grade RIA sharpies set to play Vegas at MarketCounsel's 2012 Summit
A remarkably varied lineup of industry A-listers are odds-on to spark lively conversation at the compliance confab

Friday 8.31.12
Rep. Spencer Bachus fired off a WSJ Op-Ed pushing for his bill two weeks after he had tabled it -- leaving advisors gobsmacked.

Amazed and confused: Advisors struggle to make sense of Bachus' Wall Street Journal Op-Ed salvo
House panel chief dives back into the oversight fray, but confusion persists over timing, intentions

Tuesday 8.7.12
Jack Bogle is the first of seven big names that Advizent plans to put on its board.

Advizent makes Jack Bogle its standards czar, a no-pay, no-conflict position
The RIA brand will depend on a gold standard of rules and audits

Tuesday 7.31.12
Frank Troise: There's exceptional demand. We just don't have enough advisors on the platform.

How one firm is supposedly cracking the lead generation code to the tune of 50,000 advisors supplied -- by, for now, not trying to create referrals
Investor Watchdog, FreeRetirementReport and Vestorly are among the firms seeing growth but are grappling with vetting issues -- of both advisors and clients

Thursday 6.21.12
Charles Goldman: We've barely scratched the surface of our networks.

Advizent hits $100-billion asset target in a matter of weeks triggering hires
The RIA grand brand and co-op gains momentum as Charles Goldman goes all-in

Monday 6.4.12
Monique Miller knows alternative investments from her days with Caxton Associates.

Dynasty Financial hires an expert to help it build an alternative-investments inventory
Monique Miller brings her Caxton expertise and Dynasty is also poaching Austin Philbin, overseer of 100-plus MSSB advisors,

Friday 6.1.12
E. F. Hutton may need to listen harder than ever to become the fifth wirehouse in an RIA world.

What the reincarnation of E.F. Hutton says about the pace at which RIA business is moving
It's the latest in a series of recent ventures marked by infectious enthusiasm by founders -- and few details about their business plans

Tuesday 4.24.12
Gerald Graves: Scope creep can be disastrous to an individual and to a company.

How Gerald Graves grounded a high-flying career trajectory to get back to basics -- with a 6-foot-11 former NBA player at his side
After top executive spots at Schwab Institutional and M Financial, Graves started Filagree Advisors from scratch and is careful to avoid 'scope creep'

Tuesday 4.24.12
Jon Jones: Five years ago, I would have said I would never spend $500,000 a year on marketing. But now I'd be surprised if I don't spend a million.

Why a $2-billion RIA is embracing the idea of a $1 million annual marketing tab, and how Advizent fits in
Brighton Jones is getting marketing religion despite needing very little to get to its current size in 12 years

Monday 4.9.12
Steve Lockshin: We are never going to succeed unless we build a brand.

Steve Lockshin and Charles Goldman begin to unveil Advizent, a venture that could put thousands of RIAs under a single cooperative
The Convergent CEO and ex-chief of the Schwab and Fidelity RIA custody units will refer consumers to advisory firms -- but only after doing an intensive 'audit'

Thursday 4.5.12
Bill Dwyer gave a high-energy speech predicting 500% asset growth among independents as 401(k)s roll over.

What went down at Barron's Top Independent Advisors Summit in the Arizona desert
Many of the biggest and best RIA stars showed up and put Bernie Clark, Mike Durbin, Tom Nally, Mark Tibergien, Bill Dwyer, Charles Goldman and Barnaby Grist in one room

Monday 3.26.12
Bob Oros resigned from Trust Company of America on Jan. 17.

Fidelity hires Bob Oros as its new RIA sales chief
The Schwab and LPL veteran leaves Trust Company of America and fills a void left by Scott Dell'Orfano

Friday 1.27.12
Peter Hess has the challenge of taking over from a long-ruling founder.

Peter Hess will take the CEO reins at Advent Software
The visionary of the Black Diamond acquisition replaces Stephanie DiMarco who will step down in June

Friday 1.6.12
Charles Goldman has kept a low profile but maintains an intense interest in the RIA business

Charles Goldman will give a speech and Shareholders Service Group will make noise in the marketplace
Over 300 independent RIAs are expected in San Diego along with Spenser Segal, Lou Stanasolovich, Bob Veres and Norm Boone

Wednesday 12.14.11
Charles Goldman made sure that Advent had its talking points ready.

A blessing from Charles Goldman helped seal the Advent-Black Diamond deal
Executives were ready to pull the trigger but wanted reassurances about how elements of the RIA market would react

Monday 5.16.11
The Top 10 on RIABiz last month included a story about Charles Goldman.

What advisors care about: technology, hiring, Schwab's lawsuit against a broker hit top RIABiz stories this month
A new platform for alternative assets, plus the regulatory moves expected this year also make the list

Monday 1.17.11
Charles Goldman: I’m still hungry to do more stuff.

Charles Goldman is seeking his game after tumult and a year of decompression
The former head of Schwab's and Fidelity's RIA units may land in an entrepreneurial venture

Monday 12.20.10
Charles Goldman: Off advisors' minds.

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
What really happened with Charles Goldman leaving Schwab is finally coming out in a lawsuit

What the Charles Goldman and David Brochu lawsuits say about the RIA business
Good people and good companies sick lawyers on each other when so much happens so fast

Thursday 5.13.10
Mike Durbin authored a memo detailing a major changes to Fidelity's RIA business

Fidelity reorganizes its RIA business
Mike Durbin folds sales and relationship management together and two veterans depart

Wednesday 3.10.10
Charles Goldman: Because this industry is filled with so many wonderful people, I truly believe that the best is yet to come.

Postscript to the story of Charles Goldman parting ways with Fidelity Investments
Many people are still coming to grips with the quick split of the attractive couple

Thursday 2.11.10
Fred Tomczyk: RIAs will continue to get what they need from TD

7 signs that TD Ameritrade's big conference may be a harbinger of bigger things
The #3 custodian is choosing its own path

Monday 2.8.10
Charles Goldman still embodies a service ethic for many advisors

Advisors can tolerate Goldman departure from Fidelity if service doesn't suffer
Fidelity says to expect no change in service approach because of executive changes

Thursday 1.28.10
Mike Durbin: "I think Fidelity has done the best job of speaking the language of the breakaway."

Focus shifts to Durbin at Fidelity as Goldman prepares to depart
With Goldman leaving, president of Fidelity Institutional will demonstrate his own brand of leadership

Wednesday 1.27.10
Charles Goldman aggressively tackled Fidelity's approach to service but he may also have ruffled feathers

Charles Goldman to leave Fidelity
Overseer of Fidelity's RIA custody, broker clearing and family office units sets a departure date

Tuesday 1.26.10
David Welling: I was a plant needing to be re-potted.

Former Schwab RIA veteran lands with Black Diamond
Welling looks to bring his big-company experience to fast-growing software firm

Monday 1.25.10
Rodger Lawson let his spending do the talking when it came to RIAs

Rodger Lawson was a silent champion of RIAs at Fidelity and now he's going: What's next?
FMR's president gave nearly carte blanche spending to the RIA initiative at Fidelity

Thursday 1.21.10
Like Tom Turkey, many RIAs were thankful to survive 2009

Taking A Break From the Turkey?
RIABiz's top 10 stories from the past month offer a window into what RIAs care about

Thursday 11.26.09
Charles Goldman: Service and knowledge of clients’ accounts is not the place to skim.

Goldman aims to make red carpet service for RIAs universal at Fidelity Investments
Boston investing giant is showering tip-top clients in service but it won't stop there, advisor exec says

Tuesday 11.24.09
McWhinney chooses someone she knows and trusts

McWhinney gains aid of Myra Rothfeld
Citi continues to draw on former Schwab talent

Friday 10.30.09
Deborah McWhinney: We really don’t have enough teams to serve the market

Citigroup puts RIAs at the center of its strategy to retain banking clients
McWhinney's custody plan for RIAs may reunite her with Charles Goldman

Tuesday 10.6.09
Jim McCool: Trish Cox and Bernie Clark have authority

McCool clarifies who is in charge of RIAs post-Goldman
Clark and Cox are empowered

Monday 9.21.09
Fidelity Investments continues to see high-level executive changes

Perspective on departure of Fidelity's top advisor exec [updated]
Michael Clark set the bar high

Wednesday 9.2.09

From the RIABiz Directory »

The Industry Sourcebook for RIAs



Browse All Archives


2014


    July
    June
    May
    April
    March
    February
    January

2013


    December
    November
    October
    September
    August
    July
    June
    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

Most Emailed Stories »

Marilyn Mohrman-Gillis: Quite frankly, what we're spending is less than half a percent of all financial services' expenditures.
23 shares
How the CFP Board is getting its $40 million's worth from its advertising campaign and how it isn't

Fred Tomczyk: Some of our peers will catch up with that ... probably all of them will redesign their technology to make sure they meet that competitive advantage that we've had.
20 shares
Why RIAs were the hot topic when 12 Wall Street analysts chatted up TD Ameritrade's CEO Fred Tomczyk

Bernie Clark: We're going to rewrite the whole portfolio management tool.
16 shares
Bernie Clark promises Schwab is getting there on its PortfolioCenter rewrite but competitors say the clock is ticking

Walter Bettinger: With the right full-service model for serving today’s investors, we are driving sustained momentum in our business.
6 shares
8 takeaways from Schwab's earnings report and commentary including: We are 'full-service', dammit

Richard Hough: The company had a plan of going public from day one.
4 shares
How a classic $16.2 billion RIA pulled off an IPO after a few speedbumps and why the decision is looking good


Get the RIABiz Today
Email Alert »