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Articles tagged "Tom Modestino"

Walter Bettinger: The line of people who have expressed interest is long.

Technical challenges may push Schwab's ETF-only 401(k) plan schedule into 2014 -- deferring an intriguing financial clinical trial
The bad news for Bettinger: a few million more lines of code; The good news: Fidelity won't seek to capitalize on the extended deadline

Wednesday 10.3.12
Terrence Morgan: 401(k) plan sponsors are finally ... discovering ... that all their friendly stockbroker could do was hand out enrollment kits and pat their employees on the back.

Cerulli: RIAs and hybrid RIAs make giant advances on banks and wirehouses in the 401(k) race
DOL guidance is making a difference and so is bank and wirehouse reluctance to take on fiduciary risk

Thursday 9.27.12
Randy Long: We've talked to them. I've decided I'd just rather go after their clients rather than their advisors.

How a $12 billion RIA grew to $20 billion in less than a year by raiding 401(k) accounts from legacy players
Randy Long boasted that he'd pick off the big boys' clients and came through with the help of a crack team of 12 young turks

Wednesday 9.26.12
Michael Francis: It's my belief that they shouldn't be fiduciaries because they can't be according to the way the law is set up.

Merrill Lynch jumps on the fiduciary bandwagon in retirement plans but critics see lingering conflicts
Morgan Stanley, UBS and Wells Fargo Advisors already went this route but can wirehouses really deliver strict fiduciary care?

Tuesday 4.3.12
Lou Harvey: It's really going to annoy the hell out of the plan sponsors.

Which three of DOL's new 401(k) rules represent the biggest land mines for financial advisors and plan sponsors
Accepting gifts, estimating fees and using asset allocation models all demand treading lightly

Tuesday 2.14.12
Jim O’Shaughnessy says his company has been transitioning to a fee-based business since December 2006

Cerulli report: Specialized RIAs likely to win middle-market 401(k) plan battle
Gold-standard study shows fee-only adviser poised to take over

Thursday 4.14.11
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Story » Jeffrey Concepcion: I'd tell you the biggest victory was the vindication and comments from former co-workers.How Jeffrey Concepcion manned up after FINRA and Lincoln Financial troubles to become an LPL giantRead 
Story » BloombergBlack, which registered as an RIA with the SEC in 2010, has 33 employees, including former branch managers from TD Ameritrade and Fidelity will occupy a few square feet of this building. What is up with Bloomberg launching an RIA, BloombergBlack, and hiring a bunch of ex-TD, -Fido and -Schwab folks to staff it?