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FINTECH JUL 29, 2010
Envestnet files for $100M IPO

Envestnet, a Chicago company that provides Web-based services for financial advisers, filed for an initial public offering of stock worth up to $100 million Friday.

PRACTICE MANAGEMENT JUL 28, 2010
Two traders arrested over alleged $1.3 billion scam

The FBI said Wednesday the operators of a Connecticut-based company have been arrested in New York on securities fraud charges.

FINTECH JUL 27, 2010
CRM Software updates Junxure and ClientView Live

CRM Software Inc. has released significant updates to both its popular CRM system and its separate ClientView Live secure web portal.

FINTECH JUL 27, 2010
Kasina's 'What Advisors Do Online 2010' a bit different from last year but still interesting

RIAS JUL 27, 2010
Rockefeller & Co. comes up with new name, but no new CEO

Rockefeller & Co., Inc., the wealth management firm that has been looking for a chief executive since the suicide of CEO James McDonald last fall, has changed its name to Rockefeller Financial.

FINTECH JUL 25, 2010
Tech firms may be reform law's beneficiary

With their day-to-day business practices likely to change as a result of the new financial-reform law, broker-dealers are scrambling to assess their technology preparedness.

PRACTICE MANAGEMENT JUL 20, 2010
Merrill Lynch adviser, seduced by Burgundy, concocts Grand Cru

Ray Walker was happily employed as a financial adviser at Merrill Lynch & Co. in San Francisco until a gulp of wine coerced him into leaving for France to buy $140,000 worth of grapes with a dream to rival powerhouse Burgundy domaines such as Romanee-Conti and Corton-Andre.

RIAS JUL 19, 2010
Big recruiting deals in AdviserLand: What's going on?

PRACTICE MANAGEMENT JUL 19, 2010
Retirement planning calls for straight talk

Advisers should also monitor clients' savings for changes in wealth and investment performance

FINTECH JUL 19, 2010
Edward Jones advisers to get Broadridge performance reporting

FINTECH JUL 18, 2010
Web tool's promise: A way to find funds that are likely to succeed

A new tool that is marketed as being able to help identify the most likely mutual funds to outperform the market promises to stir up debate among both financial advisers and providers.

PRACTICE MANAGEMENT JUL 18, 2010
Do your homework before starting a newsletter

RIAS JUL 14, 2010
Website offers consumer reviews of advisers

Fabeetle.com, a website that allows clients to rate, review and research financial advisers, has the potential to become a third-party search and marketing hub for both consumers and advisers that one day could compete with Finra's BrokerCheck.

FINTECH JUL 13, 2010
FaceTime launches security app for social networks

A small but growing number of vendors are tackling the problem of exerting control over social networks within the financial services industry.

PRACTICE MANAGEMENT JUL 12, 2010
Would LeBron James make a good fiduciary? (Blog)

Whether or not he knows it, by setting his objective, doing his due diligence, following a process, and focusing on his goal, LeBron exhibited the skills of a good fiduciary.

PRACTICE MANAGEMENT JUL 11, 2010
Clients acting irrationally? Hire a therapist - for them

Forget about pulling out that straight-backed chair when a client walks into the office; these days, some financial advisers are directing clients to the couch

PRACTICE MANAGEMENT JUL 08, 2010
Wall Street hiring jumps most since 2008

The removal of uncertainty regarding Congress's financial reform bill may reinforce the employment rebound as some bankers are being offered guaranteed bonuses.

RETIREMENT PLANNING JUL 01, 2010
For NFL rookies, playbook now includes financial advice

Whether they earn the league minimum or a superstar's salary, football players have to know the basics of handling money to succeed financially.

PRACTICE MANAGEMENT JUL 01, 2010
The most unforgettable commercials from the brokerage and advice industry

RETIREMENT PLANNING JUN 29, 2010
New York's top court says estates can bring malpractice suits

Overturning state law, New York's highest court this month ruled that estates and beneficiaries can sue estate-planning attorneys for malpractice.