Articles written by Lisa Shider


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How Merrill Lynch 'shot to hell' the RIA fiduciary citadel by casting its $7.5 billion fiduciary 401(k) unit as smaller, purer and more future-minded on paper

Despite FAS having fewer 401(k) assets than, for example, a single North Carolina-based RIA, CAPTRUST, the Charlotte-based Bank of America's brokerage unit has created a new competitive threat

December 16, 2017 — 12:20 AM UTC

Fidelity-owned VC pumps $10 million into Quovo, which staffs up and prepares for the big leagues

CEO Lowell Putnam plays on 'second-mover advantage' and gets raves from Steve Lockshin, Ron Carson and Marty Bicknell

May 30, 2017 — 6:09 PM UTC

City National sells off salvaged remains of Convergent Wealth Advisors, but not before Convergent sheds nearly $7 billion of AUM

After a trifecta of traumas, Mark Hurley steps in to fund and help construct deal with Pathstone and PagnatoKarp; cuts a deal with four younger advisors to start segmented division

September 13, 2016 — 5:26 PM UTC

RIA advocates cry foul after international media pick up on U. of Chicago study labeling shady stock brokers as 'investment advisers'

Investment Adviser Association issues urgent press release; authors offer defense that Brian Hamburger finds hard to swallow

March 4, 2016 — 11:40 PM UTC

As variable annuities face 'existential crisis,' LPL's Casady is latest to warn of end to commission-sold VAs in retirement plans

DOL's imminent final rule is prompting LPL and Commonwealth to consider nixing traditional VAs in qualified retirement plans

March 2, 2016 — 7:05 PM UTC

Why an $850 million BNY Mellon RIA team finally said 'yes' to Raymond James after a 'no' in 2007

LPL may have the lead in the quantity of RIAs it's bringing onboard, but Bill Van Law touts this win as an exemplar of the high-quality firms RJ is attracting

January 9, 2015 — 8:22 PM UTC

Empower wins Apple's $3.5-billion 401(k) account from Schwab

Bob Reynolds delivers quick response to the question of whether a branded company will swallow his new brand

November 14, 2014 — 8:08 PM UTC

The steps Personal Capital is taking to win bigger accounts after a year of 100% growth and 95% of them small fish

This call center advisor is handing out free iPads to its wealthiest clients along with bulk pricing and concierge services that include two human advisors per family

September 29, 2014 — 6:05 AM UTC
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