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Learning to ‘plan for the worst’ and ‘hope for the best’
Ten years hasn't diminished the vivid memories of 9/11 for Paul Schatz, president of Heritage Capital LLC, a $110 million advisory firm based in Woodbridge, Conn.
Palladiem is new venue for Lockwood veterans
A team of veterans from well-known Lockwood Advisors Inc. is creating a registered investment advisory firm that will create customized investment strategies and services for independent financial advisers, broker-dealers and institutions
MDE platform that tamps down volatility now available to RIAs
Risk 3.0 Asset Management holds out the promise of predictable returns with limited volatility
Plans to tax munis won’t fly, says BNY Mellon
Despite need to raise federal tax revenues, bank believes lawmakers will spare municipal debt
The U.S. debt iceberg still looms
Although the debt ceiling bill passed, the national-debt iceberg continues to grow in size, threatening to sink the U.S economy
Blue summer: RIAs’ take on the economy getting gloomier
Sentiment now at lowest level in more than a year; recession chief worry
Schwab apologizes to RIA clients for marketing letter gaffe
The head of Schwab Advisor Services apologized yesterday to the firm's RIA clients for sending a marketing piece sent Aug. 9 to advisers' clients who sponsor Schwab-run retirement plans.
Assets being snatched up, but valuations of RIAs still depressed
RIA client assets that changed hands through acquisitions soared in the first half of the year but valuations of the firms are still below the 2008 peak, according to Schwab Advisor Services.
Why the breakaway movement may heat up
Wirehouse brokers looking for a new place to hang their license likely would make more money at a bank's brokerage unit or by going independent rather than moving to another wirehouse.
Baird lures father-son team from Wells Fargo
Robert W. Baird & Co. has lured father-son team M. William McCollum Jr. and Travis McCollum from Wells Fargo Advisors LLC to work in its Charlotte, N.C., office.
Madoff trustee settles with Tremont Funds for $1B
The liquidator of Bernard Madoff's firm, Irving Picard, reached a settlement with more than a dozen funds associated with hedge-fund firm Tremont Group Holdings Inc. by accepting a cash payment of more than $1 billion.
Who might pay higher taxes as a result of the debt deal?
The private equity managers, oil companies and high-income earners that have been the Obama administration’s prime targets for…
<b>Special report:</b> Clearing and custody
With the flood of new regulations facing investment advisers, clearing and custody firms are taking on a larger supporting role for their clients.
Lightyear looking to raise $1.1B through UBS
A year after pulling off the high-profile acquisition of a leading network of independent broker-dealers, Lightyear Capital LLC, which is controlled by former PaineWebber chief executive and chairman Donald Marron, is back in the market looking to raise more than $1 billion from investors.
Mass affluent are waiting for your text: Fidelity
Financial advisers are bumping into one another trying to win new accounts among affluent investors, but they can add some profitable business from less obvious market segments — one of which is investors who have never had a financial adviser.
Our nation’s interest rate problem
Banks stuck with troubled real-estate-related loans. An economy in the doldrums with high unemployment. No, that isn't a snapshot of today's economy. It is what the United States looked like 30 years ago, as it emerged from the recession of 1980
$1B+ Merrill Lynch private-banking duo defects to HighTower
Searching for a “transformational business model,” Bank of America Merrill Lynch private banking vets Paul A. Pagnato and David W. Karp have joined HighTower Advisors LLC.
CFP Board launches awareness campaign with print ad
A multimillion-dollar campaign to encourage investors to use credentialed financial planners to manage their money launches this week with a print advertisement in three business magazines.
Creating a niche practice makes it easy to build business
James Barnette Jr. never had trouble getting clients, largely because he focused on a very specific niche: providing retirement plans to American educators who work abroad.
After getting nuts and bolts right, focus on clients’ emotional well-being
In 2007, Rick Kahler lost five of his six employees within two months.
