The Vanguard legend reportedly had competing interests for his time

Heed the cautionary tale of the recent $1.6 million settlement against an RIA and its affiliated B-D that falsely claimed they co-invested in a fund

Eric Clarke's firm is high on Salesforce and starting to look beyond its Omaha home for expansion as it needs more and more skilled labor

Facebook, fallout from DOL's new 401(k) regs and happenings at Advizent, Addepar and Windhaven were reader catalysts

We are sitting in sitting in limbo with many rivers to cross but harder they come (up), the harder they may not yet fall

No snow or skating ice but I put a stop to L.L. Bean mailings and a dog comes to life for Christmas

Stuart DePina wants Salentica's sheer personpower to avoid getting flooded by his own pipeline

In the alphabet soup of designations for advisors are many legitimate practitioners whom the association's new policy will shut out

Can an alum of mammoth Fiduciary Trust Company International with a book of business focused on young lawyers find happiness in a big mom and pop?

The firm has minted 50 new funds this year alone, and they are proving catnip to advisors who want to limit volatility for their clients

Montgomery Securities veteran Craig Johnson will help corral runaway wirehouse advisor dollars as the San Francisco firm seeks to build on an exponential leap in assets this year

The Chicago-based gazelle may chase capital markets next year, but expect deals to resume in early 2013

The New York corner-office outsourcer guys leave plenty of room to grow but will never have Smith Barney numbers

Victor Fetter is reporting directly to Mark Casady and will help hire 60 techies in the next 45 days

Following a scathing condemnation of the program in reaction to a recent story, another trainee chimes in with a more three-dimensional report

The previously down-market software firm says it can do anything Black Diamond can -- at 50% of the price

The notion that it's just a layover on the way to to a more exalted state of securities-license-dumping, fee-only purity should be reexamined

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

Bob Oros has his hands full as the Fidelity sales effort gains more of a Schwab presence and feel

The rise of registered investment advisors here means the city, once viewed as a very secondary financial center to New York and the Bay Area, is coming into its own in a big way

The woman who sits quietly and looks bored at meetings can arrange one of her own with the kids who will inherit the family fortune

Kris McCabe has admired Andrew Rudd's company from afar and now he believes he can get its brand humming

There is empirical evidence that challenges are increasing but also reasons to believe they can be met

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

The broker regulator takes another step towards ruling RIAs by making its arbitration process open to them

The Mariner CEO's personal barnstorming led to more than tripling his firm's assets from $2 billion to $6.5 billion with Brinton Eaton as 2012's finishing touch

Peter Giza was always the RedBlack guy until this year but now he's free to admire and comment on other vendors

Still, CFP certificants shoot down the idea of making the CEO credits requirements even harder, and fiduciary concerns linger

Ignore the anti-hype: An undermined euro may be a gain for Yankee investors with a long view and sufficient backbone

Safe zones of consensus thinking inhabit almost no area of advisor life

A Franklin Templeton study extruded the hard truth from ax-wielders that would rather just say 'no thanks' as they administer the cut

Two former Merrill higher-ups brought aboard two teams of Merrill brokers -- and they're just getting started

Wall Street reacted well to the hype-free message about germinating recruits and serious cost-cutting plans