Content tagged "Fidelity"

Fidelity Institutional Wealth Services

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	Title	Date Published
	Abby Johnson wins RIA respect by articulating her bold vision for Fidelity's future at the company's Executive Forum Hillary Clinton gave a great speech in Naples but the chairman's daughter gave a glimpse of her determination to attack channel insularity -- and what kind of a successor she might be	Thursday 5.23.13
	What ever became of RBC's RIA custody unit after it showed such promise Royal Bank of Canada high-ups say RBC Advisor Services still holds importance, but the Cerulli numbers are concerning and some RBC brokers are barred from channel switches	Thursday 5.16.13
	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
	Jeff Carney lands in Ontario where he'll lead a fund giant with 4,500 associated financial advisors Schwab's short-tenured ex-branch chief and former Fido star returns to near his college stomping grounds in taking role at Mackenzie Investments	Saturday 5.4.13
	RIAs who trade very much seek to know more at a mile-high NAAIM Conference The 24-year-old group makes its first dedicated market hire and continues to demand respect	Thursday 5.2.13
	Is Fidelity's move to put RIAs deeper into the cloud gonna make it rain? 'First to market' crows Fido. 'Not even close' counter other custodians. But one expert says the Boston-based firm's one-click platform could change everything	Wednesday 5.1.13
	LPL, Raymond James and TD data -- and Walt Bettinger, Mike Durbin comments -- reveal rotten first quarter for breakaways Mark Casady's explanation is hard to swallow for Danny Sarch, Mindy Diamond; Bettinger inveighs against 'rat trap' of checkbook recruiting; Ryan Shanks says advisors are "numb to the chaos"	Friday 4.26.13
	Industry leaders puzzled by RIAs' being paid by Schwab and Fidelity for investing in funds Some RIAs see it as an unacceptable conflict, but the custodians are unabashed about the arrangements	Friday 4.19.13
	TD, Schwab and Pershing RIA units embrace mini-option mania to hedge Google, Apple, ETFs Options have a gambling aura but some advisors find that the are quite the opposite when used with care	Wednesday 3.20.13
	Fidelity quietly imposes an ETF 60-day fee that makes RIAs with trading strategies seethe Mike Durbin says that Fidelity still has net trading costs on iShares that are pretty unbeatable	Friday 3.15.13
	Fidelity and BlackRock are cooking up a (de facto) de novo ETF company deep in the Rockies The Boston giant appears to be renting the iShares first-mover advantage as a way to get big in a hurry	Thursday 3.14.13
	How Fidelity is locking arms with BlackRock and appealing to RIAs to fend off a Schwab ETF threat The Boston and New York giants are seeking a big win by offering greater value through greater liquidity on the distribition side -- while quietly partnering on ETF-making in the fund factory	Thursday 3.14.13
	$1.6 billion RIA nabs Fidelity's $1 billion-man and a United Capital advisor seeking a gilded local brand Philadelphia-based Westcott brings on a recruiter and a specialist in women in transition	Wednesday 3.6.13
	Fidelity goes to the Wall Street Ritz-Carlton with five partner firms and preaches going independent more dependently The takeaway at this hybrid mini-summit: Yes you can -- but probably not without some serious backup	Monday 3.4.13
	It won't be long before HighTower's fee-for-service channel revenues draw even with its partner firm revenues Chicago aggregator is in talks with 50 firms about signing up with the newly unveiled Network and Alliance options	Monday 3.4.13
	T3 goes big in Miami but Fidelity steals the show with avatar advisors and smart coffee tables Joel Bruckenstein's hype about his event's must-see status ain't hype as virtually every RIA technology vendor -- from behemoth to garage dweller -- put on a show for advisors	Thursday 2.14.13
	Viewing RIAs in a new light, Fidelity Institutional shifts from a top-down to a bottom-up emphasis to serve them A couple of counterintuitive findings in a big study are part of Mike Durbin's more methodical approach to practice management	Wednesday 2.13.13
	Schwab makes play for ETF-distribution domination but not without risks Low margins, a small list of ETFs, plenty of competition and possible trade-spread issues make this OneSource bid no slam-dunk	Friday 2.8.13
	10 most influential individuals in the 401(k) industry affecting RIAs in 2012, Part 2 Executives and lawmakers are leading the charge on a fast-shifting landscape as retirement funds gain increasing importance to an aging US population	Friday 1.4.13
	Greg Friedman is set to finally bring Junxure to the cloud and beat back the Salesforce-ification of the industry True, the ascension to cloud would have happened sooner in an ideal world, but the world has not passed Junxure by, the RIA and software entrepreneur says	Wednesday 12.12.12
	Scottrade proclaims itself the 'compliance custodian,' partnering with RIA In a Box and staffing a hotline with ex-regulators But the mega-custodians are having none of it, saying the initiative is good as far as it goes, but lacks the horsepower to tackle the big questions	Friday 12.7.12
	One Santa Fe woman's female-centric approach to advice is attracting clients to her iconoclastic RIA Manisha Thakor was drafted into her venture by three wealthy women who liked none of the existing alternatives	Tuesday 11.20.12
	$1.2 billion RIA breaks it off with LPL as new beaux Fidelity and Pershing vie ardently for favor Seeking support for its superrich clients, Waldron Wealth lets the big IBD down easy, retaining its subsidiary, Fortigent	Wednesday 11.7.12
	Schwab gins up trading in foreign currencies but not for RIAs The San Francisco-based broker now has trading in local currencies at 12 foreign equity markets but advisors cite higher priorities elsewhere	Tuesday 11.6.12
	Schwab and Advent Software forge historic agreement -- mostly for the good of Black Diamond users for now Aided perhaps by the ex-Schwab employees moving to Jacksonville, the two giant RIA forces, both San Francisco-based, are looking happily engaged	Wednesday 10.31.12
	Tom Nally answers 10 questions that show one seminal shift: TD Ameritrade no longer seeks a few assets and extended probation The RIA custodian built by taking token accounts from Schwab malcontents then scrambling for the rest is now leaving the peashooter at home	Friday 10.26.12
	Schwab adds element to plug-and-play technology with eye toward existing RIAs, not just fresh wirehouse recruits NetDocuments will put electronic files right into the CRM window for RIAs using Schwab OpenView Integrated Office	Friday 10.26.12
	What a wave of 401(k) lawsuits tell us about what RIAs really need to worry about Plaintiff's attorneys have found the soft underbelly of advisors and plan sponsors, but the pitfalls are clear and avoidable	Thursday 10.25.12
	Not without criticism, TD Ameritrade opens an 'insurance agency' for RIAs that want to provide annuities Schwab says it will also use more annuities to meet the swelling demand for retirement income but Jefferson National's CEO questions the custodians' focus on traditional annuities	Friday 9.28.12
	RIAs join move to right a 401(k) wrong: Lopsided plan expenses -- a non-DOL issue Participants using mutual funds with active management pay for their passively managed brethren; with fiduciary issues being taken for real, this is a problem	Thursday 9.20.12
	Fidelity launches major division in Denver with an 'ETF quarterback' calling the shots The new venture appears to be the Boston giant's long-awaited foray into exchange traded funds but some details are still being carefully guarded	Monday 9.17.12
	Ron Ferguson steps down as CEO of National Advisors Trust after 4-1/2 years The executive proved an adept turnaround artist; now the RIA-owned company is left to search for his replacement	Wednesday 9.12.12
	Revamping its trading platform, Schwab at long last is poised to catch up with its smaller peers The giant RIA custodian explains it deliberate pace as a balancing of innovation with the veracity of the existing platform	Friday 9.7.12
	Not everyone has to make rain: Mariner brings over former LPL advisor who'd rather stay indoors and give advice HSMC Wealth Management and its $40 million in assets is one of Mariner's smaller acquisitions of late as it looks to make smart, strategic buys	Wednesday 8.29.12
	A 401(k) plan dethroning deferred: The DOL-mandated disclosures may not set any legacy palaces on fire near-term The expected RIA field day and B-D comeuppance may come limping out of the gate; Fidelity has put 17 million 401(k) disclosures in the mail with few follks batting an eye -- with high-balance participants as the possible big exception	Tuesday 8.28.12
	TD, Fidelity and Schwab get green light to custody assets of advisors who use National Advisors Trust Fido and TD Ameritrade are on board with the RIA-owned custodian and trust company but Schwab is still weighing its options	Thursday 8.23.12
	TD Ameritrade showcases what API can do with slick Veo-iRebal harmonization The RIA custodian is creating -- and third parties are applauding -- a time-saving, low-error way to trade and rebalance	Tuesday 8.14.12
	The advisor who sailed off grid and found a new business model for his $550-million RIA on the way The head of a latter-day Swiss Family Robinson has been running his firm from a 50-foot catamaran for more than two years -- with unexpected results	Monday 8.13.12
	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
	How two RIAs succeed by using only Fidelity funds -- but not without weathering criticism about closing their own architecture The heads of Weber Asset Management are unfazed by peers and analysts who says they are taking brand loyalty too far	Monday 7.30.12
	Why the San Francisco Bay area is almost certainly the capitol of the RIA business Companies like Schwab, Advent-Black Diamond and Salesforce are based here for starters -- but big wealth managers and lots of open-minded rich people clinch the matter	Monday 7.23.12
	By hiring a Fidelity sales veteran, National Advisors Trust goes after the $1 million to $10 million client who use $500 million RIAs Steve Ippolito, an RIA-savvy veteran of Schwab and Fidelity, will also work with existing member firms	Friday 7.6.12
	How Google Love can put an RIA onto an equal marketing footing with BlackRock The big search engine -- and the web in general -- may be the two technologies most neglected by advisors	Friday 7.6.12
	Schwab finally hops on the iPhone app bandwagon -- to the iTune of 30,000 potential RIA employees The big custodian went live on Thursday morning after a pilot with 15 advisors -- and about 18 months after Fidelity	Friday 6.29.12
	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
	Bernie Clark and Skip Schweiss head to Washington next week to fight on behalf of RIAs in Bachus bill showdown With FINRA threat looking real, the Schwab and TD Ameritrade executives are urging letters and Tweets	Friday 6.1.12
	How giant advice provider Financial Engines can sweep the 401(k) field -- or not It has $53.7 billion of assets under its managed account platform, but how the new DOL disclosure rules, competition from Morningstar and Schwab's bet on GuidedChoice play out will be very telling	Tuesday 5.22.12
	How the Facebook IPO is creating the mother of all RIAs, Iconiq, and what an in-your-face it is for Wall Street Breakaway out of Morgan Stanley, Divesh Makan, attracts the Mark Zuckerbergs and Sheryl Sandbergs of the world with his pedigree and presence	Friday 5.18.12
	How Schwab is gearing up its RIAs to fight for 401(k) assets The San Francisco custodian's deal with fi360 will help advisors meet increasing demand from employers that their advisors be fiduciaries	Wednesday 5.16.12
	Mag Black-Scott partners with Intel and brings aboard serious MSSB talent in quest to "disrupt" Beverly Hills Wealth Management LLC spent six months and six figures working with Intel on its innovation	Tuesday 5.15.12
	Merrill Lynch PBIG team breaks away in tumbleweed country to better pursue next-gen oil fortunes Chad Clary and Dane Crunk are bringing Dynasty Financial's technology to UHNW folks with dusty boots, deep tans and around $800 million of assets	Tuesday 5.8.12
	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
	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
	Fidelity goes deep dish on marketing in Chicago with 25 advisors -- including how to make bios more punchy and casual A hard-charging 86-year-old advisor and a Twitter-savvy 28-year-old were among the kaleidoscope of characters who showed up	Friday 3.23.12
	Former Fidelity rainmaker lands at Schwab after both big custodians reshuffle their East Coast staffing Scott D'Alessandro could boost Schwab's efforts to gain better traction with aggregators like United Capital and HighTower	Tuesday 3.20.12
	Why RIAs are shunning mobile apps and why Black Diamond, Orion, Fidelity and others are still placing their chips on an iPad future Many providers are stuck at 10% mobile adoption rate, but Fidelity has hit 40% and Orion 30% with their RIA clients	Monday 3.19.12
	Without much ado, Schwab is set to put ex-Fidelity star in charge of its branch system Jeffrey Carney will get back to his retail roots and could give a needed charge to the San Francisco broker's direct-sale efforts	Wednesday 3.14.12
	A reporter empties his notebook after attending FPA's Business Solutions event Marty Kurtz lets crowd in on peer review plan, big custodians square off on tech and Eric Clarke yields interesting thoughts in a one-on-one interview	Thursday 3.8.12
	Advent keeps a $2 billion one-foot-out-the-door RIA thanks to Black Diamond buy RMB Capital Management had been with Advent since it opened its doors in 2005 but was feeling the need for a change	Friday 3.2.12
	Fidelity reports 57% boost in 401(k) sales as it sets its sights on smaller plans and advisors Heading downmarket, the Boston-based firm is trying to muscle in on boutique providers	Wednesday 2.29.12
	How AppCrown got a big RIA footprint overnight by handling Salesforce implementations TD and Fidelity are in with both feet but some are taking a wait-and-see attitude	Monday 2.27.12
	As WealthCentral surpasses 2,000 users, Ed O'Brien responds to questions about Fidelity's technology system at T3 The head of Fidelity's RIA tech efforts says that the technology is a good fit for breakaways	Thursday 2.23.12
	Veteran Merrill Lynch manager leaves seven registrations on the table to return to his pure-RIA roots Fed up with BofA and faced with a choice between managing advisors and being one, Brad Stratton moves to CONCERT	Wednesday 2.22.12
	RIAs flock to Dallas for the T3 technology conference The seventh annual gathering drew 500 advisors, execs, software vendors and custodians with integrations, mobile apps and clouds on their minds	Tuesday 2.21.12
	What's a Pyramis? Fidelity poached a top Columbia funds exec so you won't ask that question Mike Jones oversaw $326 billion at the Ameriprise Financial subsidiary	Friday 2.17.12
	A $2 billion, 69-year-old Merrill Lynch advisor passes up the gold watch in favor of breaking away Fearing the loss of massive public accounts, John Beirne swallowed the idea of independence with help from Focus Financial	Thursday 2.16.12
	What Tom Bradley's 25-year reign at TD Ameritrade says about the RIA business People in this industry can be themselves while prospering and inventing a profession	Monday 2.6.12
	Fidelity dissects the breakaway cycle with a new study On average it's a seven-month process, and many advisors admit that they are winging it	Wednesday 2.1.12
	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
	Second ex-Fidelity exec in a year nabbed by Focus Financial Garry Taylor's hire comes as Focus shifts it emphasis from acquiring existing RIAs to luring breakaway brokers	Friday 1.20.12
	The 10 most influential figures in the RIA business going into 2012 The RIA power elite: Part 1 of 2	Tuesday 1.3.12
	Three items of RIA interest Fidelity study shows 70% of recent widows fire their advisors, Commonwealth and embattled PIEtech strike a deal and Modera Wealth brings aboard a senior planning specialist	Thursday 12.29.11
	Big Midwestern RIA hires away a Fidelity exec to realize its $50 billion plan Mariner Wealth Advisors has reached a critical size where professional management is called for	Friday 12.9.11
	How one charmed referral set Michael Chasnoff on the path to $900 million of AUM The power of PR and positive press proved to be the afterburners for Truepoint	Wednesday 11.23.11
	AI Exchange to offer hedge fund-like investments in managed-account form through Schwab, Fidelity The startup's platform offers advisors access to long-short strategies in managed-account form for investors with $100,000 minimums	Monday 11.7.11
	Schwab and T. Rowe Price finally strike a OneSource deal with help from an ex-Fido exec Scott David has only just arrived at the Baltimore mutual fund giant from Fidelity in May and he's already pulled off a coup that was 20 years in the making	Monday 10.31.11
	Mike Durbin is putting his stamp on Fidelity as an RIA custodian for asset-flush breakaways The leader is working to improve its customer services as the custodian pours big bucks into upgrading its tech offerings	Tuesday 10.25.11
	Fidelity lures a 'game-changing' West Coast practice-management star Laura Kogen's eclectic skill-set, serious smarts and vivid personality make her a catch	Monday 10.24.11
	Fidelity is shopping for new head of sales after Scott Dell’Orfano is tapped for semi-secret mission Dell'Orfano and his team are developing product services and technology the better to lure major RIAs	Wednesday 10.19.11
	Once good for a few million, TD Ameritrade's foot-in-the-door strategy is starting to net billions With the paperwork signed, TD goes to work wooing big RIAs with technology, special pricing and a maverick culture	Tuesday 10.11.11
	Fidelity is set to add Envestnet, Redtail, Morningstar, AppCrown and Salesforce to WealthCentral Early to the integration game, the Boston giant will seek to pad its lead -- but it could take a while to execute	Wednesday 9.28.11
	Fidelity jumps into the game of providing technology for picking RIA technology Unlike Actifi technology used by TD Ameritrade, the Boston giant's gizmo declines to suggest vendor names	Thursday 9.15.11
	Schwab Advisor Services is nearing $800 billion of RIA assets but analysts are split over whether it can continue to dominate Fidelity keeps flexing its muscles as Schwab raises its hybrid-friendly profile, reaches out to IBDs and rolls out an ambitious vendor platform	Tuesday 9.6.11
	Commonwealth, Cetera and The ETF Store take notable actions Commonwealth replaces Fidelity technology; Cetera snags Gene Goldman; an LPL vet, and upstart ETF Store takes another page out of Adam Bold's book	Monday 8.22.11
	Executive leaves Bloomberg with ambitious plan to unify the retail bond market Kim Bang has experience consolidating securities exchanges and signed on as CEO at BondDesk	Friday 8.19.11
	Breakaway Movement II is kicking in, say Schwab and Fidelity execs Spurred by waning wirehouse retention packages, a wave of advisors are poised to jump ship in 2012	Wednesday 8.10.11
	What's behind LPL's decision to slash its ticket charges for advisors The IBD is in a generous mood as it also pays dues to FSI on behalf of thousands	Tuesday 8.9.11
	LPL lures a TD Ameritrade talent across the San Diego street Mike Watson will bring his practice-management expertise to 1,400 LPL reps	Friday 8.5.11
	Fearless Merrill Lynch team breaks away with $1 billion in broad daylight Paul Pagnato and David Karp started their day in Washington DC and ended up in Reston, Va.	Tuesday 8.2.11
	RIAs and online brokers are winning the market-share game Wirehouses will have to re-up retention bonuses or see mass migrations of top producers	Wednesday 7.27.11
	Fidelity Financial Advisor Solutions is hatched and Scott Couto will head it The $385 billion unit is looking to put its best wealth-management foot forward	Friday 7.22.11
	Schwab connects CRM to account opening for RIAs The software fulfiills some of Schwab Intelligent Integration's promise without the fancy cross-wiring	Friday 7.22.11
	How an RIA can capitalize on referral programs offered by Schwab, TD and Fidelity Success in converting leads favor the firm that makes dedicated hires	Monday 7.18.11
	Big Morgan Stanley team on the Beltway hightails it to HighTower on second thought The learning curve required for complete independence looked unpalatable when it came to decision time	Wednesday 7.13.11
	Fidelity releases mobile trading for advisors - just don't expect many mobile trades RIAs generally make block trades and use rebalancing software these days and mobile apps aren't ready for that	Tuesday 7.12.11
	Fidelity, Vanguard and Schwab have top 401(k) brands but plan sponsors like the service of off-brands better, study shows In market share wars for retirement plan dollars, big and small brands alike have much to learn	Friday 7.8.11
	Advisor Spotlight: Two small Dean Witter breakaways are now Symmetry, a big DFA TAMP David Connelly and Patrick Sweeny grew to $6.5 billion of assets largely as an exclusive DFA shop but recent added Vanguard, BlackRock and State Street ETFs	Thursday 6.30.11
	Schwab encourages RIAs to adopt client segmentation but some don't approve The controversial practice is cherry picking to some advisors but experts say it's plenty fair and crucial for growth	Wednesday 6.29.11
	Tibergien uses brutal honesty to captivate big Schwab RIAs and others at San Francisco event The Pershing leader and former Moss Adams star lit into advisors on practice management issues	Friday 6.24.11
	Russell Investments and Fidelity both see disconnect between HNW investors and RIAs in separate studies Mere millionaires prefer fixed income and ultra-wealthy Tiger 21 members also edge toward perceived sleep-at-night investments	Thursday 6.23.11
	12 takeaways for RIAs from a Schwab report about complex cost basis rule changes The onus is on the custodians but advisors will be expected to help, especially during tax season	Friday 6.17.11
	What a slew of recent RIA surveys say about the firms' hunger for growth Firms are ready to hire and recruit investors but they're aware that pitfalls abound	Thursday 6.16.11
	Joe Duran tries out novel financial planning strategy on himself and his wife United Capital is seeking a replicable method for counseling high-net-worth couples	Tuesday 6.14.11
	Fidelity study: Breakaway RIAs could pocket millions in after-tax profits Dazzling wirehouse retainer deals are nice but going it alone can pay much, much better after taxes get figured in	Tuesday 6.7.11
	What to make of yesterday's Wall Street Journal report on Schwab's 401(k) 'bet' RIAs favor WSJ's suggestion that Financial Engines is getting a close look as an outsourced 401(k) advice provider	Thursday 6.2.11
	In a twist, RIA opens a bank - to significant success Despite increased oversight, the one-stop-shopping model has worked for First Foundation	Wednesday 6.1.11
	Fidelity holds exclusive annual conference and gets an unforeseen jolt of energy from Bin Laden's death Advisors were happy to have Bill Clinton, Fareed Zakaria and other experts on hand for perspective	Wednesday 5.11.11
	Fidelity steps up effort to bestow its marketing magic on RIAs Schwab, Pershing and TD Ameritrade are all quietly amping advisors to win new business, too	Tuesday 5.10.11
	Fidelity nabs a top LPL RIA executive for new ultra-affluent unit Trevor Norton will lead Fidelity's drive to bring white glove services to giant clients of RIAs	Thursday 5.5.11
	TD Ameritrade beats Schwab to the punch with ETF option for retirement plans Platform allows advisors to sell mutual fund and ETF capability	Thursday 4.21.11
	Former MSSB exec powers up Washington Wealth Management as branch-manager franchise RIA structured as an independent branch network rises in Virginia's horse country on Fidelity platform	Monday 4.11.11
	Fidelity's big advisor survey: Independent channel seen as most profitable after banner years for firm-switching More clients come along for the ride; compliance fears keep some advisors from going independent; meanwhile, many refocus on top clients	Thursday 4.7.11
	Schwab strengthens its hand against Fidelity via hot NY startup Loren Morris's move from Schwab to Dynasty looks a bit like an arranged marriage	Wednesday 4.6.11
	Virtually all big IBD reps covet the independent RIA life, Schwab study says Schwab's Bernie Clark and TD's Tom Nally see IBD reps undergoing a palpable mood switch, but Fidelity's Mike Durbin and Pershing's Mark Tibergien are unconvinced	Tuesday 3.29.11
	A hockey star went from being a Merrill Lynch client to a Merrill Lynch advisor to the latest Merrill Lynch breakaway Despite misgivings for 20 years, Dave Emma stayed largely for the culture and then Bank of America came along	Friday 3.25.11
	Fidelity slips in ahead of Pershing on Google phones with WealthCentral for Android Functionality is just like the iPhone version, with no mobile trading yet	Tuesday 3.22.11
	Hellish memories: Advisors recall rock bottom, March 9, 2009 On the day a zero-market seemed possible, sleep-deprived advisors tried to stop their clients from bailing out. Sometimes they failed.	Wednesday 3.9.11
	New Fidelity survey shows advisors are running scared about compliance costs RIAs, compliance experts and a research group diverge wildly on future costs but a baseline increase in the single-digit thousands seems inevitable	Monday 3.7.11
	Fidelity launches gigantic referral database to give advisors a shortcut to wealthy prospects Advisors gain from referrals, but hate asking for them	Friday 3.4.11
	DOL's proposal puts the screws to legacy 401(k) providers As SPARK, SIFMA, others cry foul at yesterday's hearing, RIAs may be sitting pretty with the right fiduciary framework in place	Wednesday 3.2.11
	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
	Why one Merrill Lynch advisor needed to break away twice to become an RIA Rahul Shah's first breakout attempt to Wachovia's FiNet fizzled and, his wife, Tejal Shah masterminded the second effort	Tuesday 2.22.11
	Fidelity releases WealthCentral Mobile for the iPhone Android app to come in Q1	Friday 2.18.11
	National Financial Services records some wins to ease the pain of Bank of America loss The number two clearing company is placing emphasis on fee-minded IBDs like Berthel Fisher	Wednesday 2.16.11
	Schwab to make long-awaited move in 401(k) market with an all-indexed mutual fund and ETF strategy Market leader Fidelity not likely to mirror the move because of its legacy structure	Thursday 2.10.11
	How Harter broke away from Morgan Stanley Smith Barney to find new vendors -- and found old friends Citi wealth management alumni are deeply entrenched at Fidelity and Dynasty Financial Partners and working on better mousetraps	Wednesday 2.9.11
	Big advisors drive solid year for breakaway wins at Schwab, Fidelity, Pershing and TD Aggregators drive momentum in 2011	Thursday 1.27.11
	In a triple merger, fast-growing Florida RIA scoops up an LPL advisor and a fellow asset manager to double firm size More deals involving IBD advisors on the horizon as shift to fees makes combinations possible	Tuesday 1.25.11
	With a rebound in net flows from its biggest advisors, Schwab finishes 2010 with a flourish Fidelity Institutional Wealth Services records a $100 billion asset jump	Thursday 1.20.11
	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
	Fidelity teams with Manpower to bolster RIA efforts to staff up Custodians see advisory firms in hiring mode	Friday 1.14.11
	How Schwab failed to block one broker's breakaway and what the legal battle may mean for the future Industry insiders say they're stunned by a recent courthouse loss	Tuesday 1.11.11
	The top 20 RIABiz articles in 2010 and why they were so important to readers Schwab, Fidelity, DFA, LPL, Envestnet and the 401(k) market dominated the headlines this year	Monday 12.27.10
	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
	Fidelity Charitable courts advisor business -- and competes with Schwab -- by making alternative assets OK in its donor-advised fund The move comes after Schwab enjoys success allowing advisors to use hedge funds and private equity	Friday 12.10.10
	HighTower veteran helps Morgan Stanley Smith Barney team break away upstate New York style A breakaway story from the perspective of the facilitator	Tuesday 11.30.10
	A HighTower-like consolidator rises from Texas ground A UBS star is raising capital and recruiting up a storm	Tuesday 11.16.10
	Why PIMCO's brand is most sterling and Powershares, Vanguard and ProShares are fast-gaining Emotions of investors need to be addressed in three areas	Tuesday 11.2.10
	Fidelity arms its RIAs for battle with white-glove brands Pershing and Schwab are also angling for advisors game to bag some mega-clients	Monday 10.25.10
	As Schwab poises for massive invasion of Boston, Fidelity lays in wait The San Francisco custodian expects near-record IMPACT crowds but Fidelity is monopolizing billboards to impress them	Tuesday 10.19.10
	Why the DOL's massive new 401(k) disclosure requirements are a 'very, very big deal' RIA competitors (i.e. brokers) face daunting challenge of explaining complex revenue-sharing arrangements	Friday 10.15.10
	Schwab and Fidelity experience seasonal slowing of breakaway activity The good news is that big wirehouse brokers and IBD reps keep nibbling	Thursday 10.14.10
	Technology review: Fidelity's WealthCentral is solid and smart but still has seams Getting people to switch is complicated because it means getting a commitment and collecting big fees	Thursday 10.14.10
	How the FPA's national conference is nudging large firms toward fiduciary care Merrill Lynch, Morgan Stanley, MetLife and others come as leopards looking to change their spots	Monday 10.11.10
	What Schwab's new 401(k) study tells about the demand for financial advisors to manage retirement assets Automated advice is making a bigger dent but the personal touch is favored by a wide margin	Wednesday 9.29.10
	Fidelity will soon charge a big fee to small advisors Boston-based custodian is on service crusade and economics need to work	Friday 9.24.10
	Fidelity Institutional and Black Diamond tie the knot through WealthCentral The companies promise 'bi-directional' integration	Thursday 9.23.10
	Fidelity steps up M&A efforts as RIAs step up the pressure for answers Deal-related consulting fits a core strategic objective -- RIA growth	Friday 9.17.10
	Fidelity study reveals greater reliance on advisors to manage the college savings vs. nest egg vice grip RIAs steer parents clear of the high-fee 529-plan bandwagon	Friday 9.10.10
	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
	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
	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
	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
	Joining the industry-wide trend, TD Ameritrade announces its upcoming project for "open architecture" technology integration Custodian hopes to open the platform to all vendors that pass a security check	Friday 7.30.10
	Fidelity weighs in with breakaway results reinforcing the big-advisor trend Are cost-cutting wirehouses creating a farm system for top entrepreneurial teams?	Thursday 7.29.10
	What the confidential documents uncovered by Reuters say about Fidelity's future in the 401(k) business A rare glimpse at the 401(k) giant's client tally shows slippage among big customers but its 401(k) business may be finding increased traction with advisors	Thursday 7.8.10
	What if you spent one hour a day on the #1 idea to free up time and cash flow? 10 people in the RIA business offer their best thought for making the second half of 2010 more productive	Thursday 7.1.10
	Fidelity primes the referral pump for RIA clients A new program gets a warm reception from advisors ready to snap out of hand-holding mode	Friday 6.25.10
	What Cogent's new study says about where RIAs stand in the 401(k) business Brokers still dominate most segments but RIAs do well with bigger plans, results of two surveys show	Thursday 6.17.10
	Royal Bank of Canada is hustling to become an RIA custody force RBC Advisor Services weaves together RIA businesses of old Dain Rauscher and old Bear Stearns	Monday 5.24.10
	Double-dip market disaster on tap next? Not likely, say pundits from Schwab, Fidelity, Barron's and Seeking Alpha Digest of recent pundit writings counters view of Joseph Stiglitz that consumers are out of bullets	Monday 5.24.10
	What happened at Fidelity's RIA conference this year The presence of Ned Johnson and George W. Bush lent gravitas to the annual event	Tuesday 5.18.10
	Schwab unveils a plan to create a grand ecosystem of top technology vendors to RIAs Executives of the San Francisco RIA custodian believe they can take integration further than Fidelity's WealthCentral	Tuesday 5.11.10
	Some experts question Cogent Research study's finding of big dip in 401(k) plan ownership The bad economy deterred participation in employer retirement plans but their growth may stay suppressed longer term, researchers say	Thursday 4.29.10
	TD Ameritrade is pulling out the stops for 100 advisors in Laguna Beach Smaller custodian is starting to make a habit of 'going big'	Thursday 4.29.10
	RIAs are starting to create their own 401(k) companies as alternatives to John Hancock and The Principal Capital Directions is building a TAMP for advisors that want to get into the 401(k) business	Tuesday 4.27.10
	Enthusiasm simmers in the wake of the by-invite-only Barron's Top 100 conference The purity of the all-independent crowd was palpable, powerful for attendees	Monday 4.26.10
	Schwab gives investors seat at the table for new-issue municipal bonds with J.P. Morgan deal (updated) San Francisco broker answers call of RIAs seeking to better serve retirement-minded Baby Boomers	Friday 4.23.10
	After a wait, Schwab has a program for alternative assets The giant custodian will hold many of the assets itself	Thursday 4.22.10
	HighTower doubles recruiting staff and seeks green pastures of Morgan Stanley Smith Barney brokers Unforeseen interest in potential breakaways accelerates plans of big aggregator	Thursday 4.22.10
	Fidelity brings its 401(k) muscle to RIAs with new product The 401(k) giant seeks to do for RIAs what it's done for brokers all along	Wednesday 4.21.10
	This Merrill Lynch team leader broke away for fear of what might happen under Bank of America Red Goldstein loved Merrill Lynch but he deemed any chance of increased restrictions too risky to his business model	Tuesday 4.20.10
	Online brokers may be bigger threat to financial advisors than they realize, study says E*Trade, Schwab and Fidelity win assets from advisors and relinquish them grudgingly, according to Aite Group report	Monday 4.19.10
	TD Ameritrade's raised its NTF fee to mutual funds and analysts believe rivals may hike theirs, too Schwab and Fidelity have ample leverage with mutual funds to raise their toll, analysts say	Wednesday 4.14.10
	Breakaway broker signings get off to hot start in 2010 for Fidelity, TD and Schwab RIA custodians report big increases in both size and number of recruits from wirehouses	Tuesday 4.13.10
	What do RIAs care about? A breadcrumb path through RIABiz into the mind of financial services entrepreneurs	Wednesday 4.7.10
	Fidelity plows ahead in the RIA business with overhauls of service, technology and management Stagnant for more than a decade, the Boston-based RIA custodian has become a cauldron of dynamic change in last few years	Tuesday 3.30.10
	Fidelity delivers a white paper and a warning to RIAs regarding new cost-basis rules Multi-custody arrangements and third party platforms can lead to troublesome data fragmentation, the Boston custody giant says	Friday 3.26.10
	10 things that show the RIA movement is really heating up in 2010: Part I Observers need a scorecard to keep track of all the advances that RIAs are making	Monday 3.22.10
	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
	Fidelity names buck-stops-here service czar for all of its financial advisory channels Maggie Serravalli is aiming for service quality consistency	Monday 3.15.10
	Black Diamond adds a Fidelity veteran to its sales team Karen Lisowski will work from San Francisco	Monday 3.15.10
	How Royal Alliance won a big-time RIA after a string of losses Rehmann Financial loves the AIG subsidiary's alliance with Pershing	Friday 3.12.10
	Fidelity reorganizes its RIA business Mike Durbin folds sales and relationship management together and two veterans depart	Wednesday 3.10.10
	Pershing is working to create a better alternative assets experience The Jersey City RIA custodian believes a defined list of criteria gives it an edge	Monday 3.8.10
	Mark Tibergien is making Pershing an industrial strength custodian with an RIA service touch The feisty CEO of Pershing's RIA unit believes his offering will speak to big RIAs	Thursday 3.4.10
	Schwab won't stop at wire transfer check-up calls in its quest for airtight security of RIA client assets Top service exec at big custodian says the tumult of the last 18 months led to the escalation of asset safeguards	Thursday 2.25.10
	Scottrade is ramping up marketing -- with an interim leader at the helm The St. Louis-based discount broker has big momentum and a big position to fill	Wednesday 2.24.10
	Giant push is on in Washington to create a nation of savers Banks are taking the lead but companies like Fidelity Investments, Raymond James, and Edward Jones plan to jump aboard	Monday 2.22.10
	Schwab is a big custodian with plans to step it up in 2010 Bernie Clark will have a juggling act of keeping service top notch and shoring up the hybrid offering	Wednesday 2.17.10
	The T3 conference has a rebellious air and the makings of success Bruckenstein and Drucker channeled their frustration about industry conferences into creating a tech mecca for RIAs	Friday 2.12.10
	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
	Focus Financial looks more like a consolidator-of-consolidators as its partner firms go on buying sprees Lara, Shull pulls off five deals to nearly double its assets in a year	Tuesday 2.9.10
	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
	9 things RIAs need to know about Fidelity's pricing moves on equities and ETFs The trade commissions grab headlines but ETF cuts are a glimpse of the future	Wednesday 2.3.10
	Top 10 findings of Morgan Stanley report include: Schwab as the best RIA custodian, LPL for highest advisor satisfaction Wall Street's endorsement of the RIA model is a sign of the times in the industry, analysts note	Tuesday 2.2.10
	Stephen Finn taps Maiorano to take small custodian to the next level Schwab RIA pioneer plans to make his custodian more mainstream	Monday 2.1.10
	Asset Custody Project rolls forward The scope of the RIABiz plan for 2009 recaps and 2010 outlooks of RIA custodians took on a life of its own	Monday 2.1.10
	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
	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 to leave Fidelity Overseer of Fidelity's RIA custody, broker clearing and family office units sets a departure date	Tuesday 1.26.10
	Schwab and TD Ameritrade pipelines brim with breakaway prospects Growth rate accelerates despite slowing attrition at wirehouses	Tuesday 1.26.10
	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
	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
	A giant is awakening in the hybrid RIA market Schwab vows to spend big in 2010 and 2011 on better connections to IBDs	Thursday 1.14.10
	5 Reasons why the hybrid RIA model may be a bigger deal than ever Someday all advisors could be hybrid-like under FINRA	Thursday 1.14.10
	RBC is checking every box to ensure it acquires the JPMorgan RIA unit intact Mike Kavanagh brings the former Bear Stearns service team to Minneapolis for bonding	Wednesday 1.13.10
	A small RIA custodian in San Diego faces a new challenge: accelerating growth [updated] Peter Mangan is creating a company that resembles the old Jack White more every day	Monday 1.11.10
	Morgan Stanley report: TD Ameritrade and other rivals may face pricing dilemma after Schwab price chop San Francisco broker can cut commissions with relative impunity now that it has shifted primarily to fees	Friday 1.8.10
	Percolating: RIA custody roundup for 2010 New faces, new programs, new technology and new assets	Thursday 12.31.09
	What I learned about E*TRADE, Bank of America, Google and the Bubble Lounge during pre-holiday conversations Just because a wirehouse broker doesn't win the account doesn't mean that another advisor will	Tuesday 12.22.09
	TD Ameritrade takes on Schwab with big consulting push Smaller custodian will seek to democratize consulting advice on behalf of smaller advisors	Monday 12.21.09
	Fidelity is bidding its HybridOne brand farewell The Boston broker makes the move as Pershing's competing hybrid offering wins raves	Wednesday 12.9.09
	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
	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
	Merrill Lynch breakaway runs gauntlet to set up his business 'I was just a constant work machine'	Friday 11.20.09
	Independent-within-Smith Barney breaks away after hitting wall Former Smith Barney peers light fuse for Swope independence	Wednesday 11.18.09
	RIAs drive explosive growth of the Broker Protocol; signatories triple The wirehouse legal truce is now a poaching tool for advisory roll-ups; Merrill Lynch applauds its wide use	Tuesday 11.17.09
	How TD Ameritrade wins clients $47 million at a time UBS brokers double take-home pay with breakaway	Friday 11.13.09
	HighTower Advisors nabs a UBS team and shifts to new recruiting gear Chicago company creates comfy nest for breakaways with overseas clients	Tuesday 11.10.09
	Doug Talir, director and founder of Scottrade's RIA custody business, departs Scottrade is seeking to fill position	Friday 11.6.09
	New RIA with a Royal touch Glassman takes assets to Schwab and outsources some services to Fortigent	Monday 11.2.09
	McWhinney gains aid of Myra Rothfeld Citi continues to draw on former Schwab talent	Friday 10.30.09
	Outsourcing begins to catch fire at Advent Software Hess recognizes that a new breed of advisor doesn't want the 'dirty work'	Wednesday 10.28.09
	Fidelity to provide Wall Street-style access to international investments Boston brokerage gets edge on close rivals but State Street is still king for global investing diehards, advisor says	Thursday 10.22.09
	Raymond James shows it's serious about winning bigger RIAs Raising minimums is part of creating an atmosphere more conducive to elite advisors	Thursday 10.22.09
	Citi advisors seek potential suitors after McWhinney's tectonic pay shift Beacon Pointe is busy interviewing nervous Citi advisors	Wednesday 10.14.09
	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
	How to choose between the bewildering custody choices Litman/Gregory took its time and checked all the boxes	Friday 10.2.09
	RBC's appearance on custody scene could be a 'game changer' Canadian bank's combo with JPMorgan unit creates new choice for breakaways	Wednesday 9.30.09
	(Part 2 of 3-part series) Hou-Sear team can't always beat RIAs so it joins them Why Hou-Sear turned down $60 million to start Luminous	Monday 9.28.09
	Fidelity races to develop M&A program ahead of looming merger boom Boston custodian seeks to manage a flood of client requests	Wednesday 9.23.09
	Coming Soon: Multi-Part Series on the Hou-Sear departure from Merrill Lynch Intensity of breakaway was unprecedented, lawyers and custody execs say	Friday 9.18.09
	The 10 top things to know on the eve of Schwab IMPACT 2009 A fragmented industry gets under one tent	Saturday 9.12.09
	One notable Fidelity price cut may enliven conversation, advisors say Cut of alternative investment custody fees is symbolic to key Schwab advisors	Thursday 9.10.09
	Fidelity's Durbin debuts with strategic price cuts Head of RIA unit wants to eliminate obstacles to winning business	Thursday 9.10.09
	Scottrade rakes in small RIAs Discount retailer turns its sights on advisors	Friday 9.4.09
	Perspective on departure of Fidelity's top advisor exec [updated] Michael Clark set the bar high	Wednesday 9.2.09
	Schwab technology undergoes metamorphosis Beta tester still has wish list for Schwab upgrades	Tuesday 9.1.09
	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
	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
	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
	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
	Welcome to RIABiz on day one Online publication for financial advisors debuts from Sausalito, Calif.	Thursday 8.6.09
	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
	With big assist from RIAs, Schwab is still a net new asset magnet Wirehouses keep net flow numbers to themselves	Thursday 8.6.09

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