Media Coverage

February 2012

SEC Seeks More Examiners, But SRO Idea Still Looming
February 19, 2012
InvestmentNews
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5 Minutes with the Adviser’s Advisor (Part 7) (Video)
The Road to Independence: Regulatory Issue Affecting The Move To Independence
February 14, 2012
AdvisorTV
Watch Online

Are Regulations Killing the Hybrid Financial Advisor?
February 8, 2012
Registered Rep.
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SEC Targets Compliance
February 5, 2012
InvestmentNews
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January 2012

5 Minutes with the Adviser’s Advisor (Part 6) (Video)
The Road to Independence: Implementing a Business Plan
January 31, 2012
AdvisorTV
Watch Online

Jumping on the Salesforce Bandwagon
January 29, 2012
InvestmentNews
Read Online

5 Minutes with the Adviser’s Advisor (Part 5) (Video)
The Road to Independence: Creating a Business Plan
January 25, 2012
AdvisorTV
Watch Online

SRO Bill’s Redraft Hangs in Balance With Bachus to Leave House Panel’s Helm
January 23, 2012
AdvisorOne
Read Online

5 Minutes with the Adviser’s Advisor (Part 4) (Video)
January 17, 2011
AdvisorTV
Watch Online

SEC Sends Sharp Warning to Advisors Using Social Media
January 6, 2012
RIABiz
Read Online

The 10 Most Influential Figures in the RIA Business Going into 2012, Part 2
January 4, 2012
RIABiz
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December 2011

Poll: Advisors Will Be on the Move in 2012
December 29, 2011
FundFire
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Compliance Outsourcing Gains Favor With RIAs
December 16, 2011
Registered Rep.
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FINRA Attacks Boston Consulting Group Over SRO Study
December 16, 2011
RIABiz
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Family Offices Seek Shield From SEC Disclosure
December 13, 2011
Bloomberg News
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Ex-SEC Enforcer Leads New Jersey Effort to Oversee New Pool of Investment Firms
December 12, 2011
NJ.com
Read Online

November 2011

How Much Should RIAs Shake in Their Boots After the SEC Punished Three Firms Then Put Out a Detailed Press Release?
November 30, 2011
RIABiz
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Nine Threats to the RIA Business and How They Can be Avoided
November 14, 2011
RIABiz
Read Online

Wall Street Thriller ‘Margin Call’ is a Cautionary Tale — Even for RIAs
November 9, 2011
RIABiz
Read Online

RIAs Positioned For Social Media Play
November 7, 2011
Fund Industry Intelligence
Read Online

What Gives at the SEC?
November 1, 2011
Financial Advisor Magazine
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How Long Can You Go without Making Money?
November 1, 2011
Registered Rep.
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Unfinished Business: Advisors Debate Fiduciary Standard, SRO
November 1, 2011
AdvisorOne
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October 2011

Social Media May Revive Tuft War For Brokerage Clients
October 28, 2011
Dow Jones
Read Online

5 Minutes with the Adviser’s Advisor (Pt. 3) (Video)
October 28, 2011
AdvisorTV
Watch Online

Fidelity lures a ‘game-changing’ West Coast practice-management star
October 24, 2011
RIABiz
Read Online

5 Minutes with the Adviser’s Advisor (Pt. 2) (Video)
October 17, 2011
AdvisorTV
Watch Online

INTV: The evolution of the financial advisory model (video)
October 17, 2011
InvestmentNews
Watch Online

RIAs and B-Ds don’t mix, says Duane Thompson at MarketCounsel Summit 2011
October 17, 2011
RIABiz
Read Online

Rep. Bachus sends chief of staff to adviser conference, listens to SRO concerns
October 17, 2011
InvestmentNews
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The dark side of the ‘good’ regulatory changes get scrutinized at MarketCounsel Summit 2011
October 17, 2011
RIABiz
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Ready or not, here comes ‘the switch’
October 16, 2011
InvestmentNews
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Broker-hiring protocol seeing more dropouts
October 16, 2011
InvestmentNews
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Senate roadblock may be last hope for SRO opponents
October 14, 2011
InvestmentNews
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In an interview, Brian Hamburger addresses angst about an SRO future that has RIA stomachs in a knot
October 14, 2011
RIABiz
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Harmonizing Advisor, BD Rules Back Burner Issue for SEC: fi360′s Thompson Says
October 13, 2011
AdvisorOne
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RIAs lobby Bachus on SRO proposal
October 13, 2011
InvestmentNews
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Market Volatility represents opportunity to expand advance business: TD’s Bradley
October 13, 2011
InvestmentNews
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Compliance expert: ‘Switch’ will dramatically undercut oversight
October 13, 2011
InvestmentNews
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On the first day of MarketCounsel Summit 2011, attendees indulge in ‘Mohita Madness’
October 13, 2011
RIABiz
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What’s happening at RIABiz this week and why it matters
October 10, 2011
RIABiz
Read Online

What exactly is an RIA?
October 4, 2011
RIABiz
Read Online

September 2011

MarketCounsel, CFDD, T3 and Schwab Vie for Advisors to Attend Their Fall Conferences
September 26, 2011
RIABiz
Read Online

5 Minutes with the Adviser’s Advisor (Video)
September 23, 2011
AdvisorTV
Watch Online

Schwab Rolls Out Tools to Aid RIA Transition
September 21, 2011
Financial Planning
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Schwab Launches Comprehensive Set of Resources to Help Advisors Navigate the Transition to Independence
September 20, 2011
MarketWatch
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New Fiduciary Standard with Brian Hamburger (video)
September 20, 2011
Registered Rep
Watch Online

What to do – and not to do – when going independent
September 19, 2011
InvestmentNews
Read Online

FPA Convention Rep fiduciary rule would give Finra leg up as adviser SRO
September 18, 2011
InvestmentNews
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Financial Services Committee Debates Changes to Advisor, Broker Relations
September 13, 2011
Financial Planning
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August 2011

Brokers May Find Cutting the Wire Their Best Move
August 28, 2011
InvestmentNews
Read Online

MarketCounsel Named to 2011 Inc.5000 List
August 23, 2011
Inc. Magazine
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RIA Loses $10 Million Case Against Raymond James the Old-Fashioned Way
August 18, 2011
RIABiz
Read Online

RIABiz Has its Second Birthday and Reaches New Milestones
August 17, 2011
RIABiz
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Schwab: Franchisees Can’t Poach RIA Clients
August 8, 2011
Registered Rep.
Read Online

The Plusses and Minuses of Google+
August 7, 2011
InvestmentNews
Read Online

The Best Attorneys and Accountants of 2011
August 1, 2011
The New York Enterprise Report
Read Online

July 2011

A Cautionary Tale: How One Arbitration Can Topple a Firm
July 8, 2011
Registered Rep.
Read Online

Cheat Sheet for Recent SEC Regulatory Changes and Amendments
July 7, 2011
RIABiz
Read Online

IAA’s Tittsworth Critical of Bloomberg on RIA Growth, Motivations
July 6, 2011
AdvisorOne
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Safeguards Are Scant as Registered Advisers Increase 39%
July 6, 2011
Bloomberg Businessweek
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June 2011

‘Switch’ Deadlines Still Could Be in Flux
June 26, 2011
InvestmentNews
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NY Report Congratulates the 2011 Best Accountants & Attorneys
June 16, 2011
The New York Enterprise Report
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MarketCounsel Announces Top Industry Leaders to Keynote 2011 Member Summit
June 15, 2011
PRNewswire
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Fidelity’s Durbin Asks: Need Another Reason to Leave Wirehouses? Taxes?
June 6, 2011
AdvisorOne
Read Online

May 2011

Advisors & Social Media: Don’t Act Like Ashton Kutcher, Expert Says
May 31, 2011
AdvisorOne
Read Online

MSSB Frees Advisors to Post on Social Media
May 25, 2011
FundFire
Read Online

Behind the Scenes in Social Media
May 15, 2011
InvestmentNews
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April 2011

Research Site for Investors Good News/Bad News for Advisers
April 26, 2011
InvestmentNews
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Reg Switch from SEC to States Delayed Until 2012
April 18, 2011
InvestmentNews
Read Online

Avoid E-mail Audit Headaches
April 15, 2011
Morningstar Advisor
Read Online

Government Shutdown May Wallop SEC to the Long-term Detriment of RIAs
April 11, 2011
RIABiz
Read Online

Advisers Scramble to Meet SEC’s ‘Plain English’ Deadline
April 4, 2011
Reuters Insider Video Feature
View Online

Don’t Tweet This: Why You May Not Need to Be on Social Media
April 1, 2011
Registered Rep
Read Online

March 2011

Third of Advisers May Blow ADV Deadline
March 25, 2011
InvestmentNews
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Radio-star RIAs Drive Giant New Growth at National Chains One $400,000 Investor at a Time
March 25, 2011
RIABiz
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MarketCounsel Buys Beneficial Concepts Group With an Eye Toward Calming Smaller RIAs’ Compliance Fears
March 22, 2011
RIABiz
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Mississippi lawyer Mercer Bullard Volunteers to Form an RIA SRO and Nobody’s Laughing it Off
March 10, 2011
RIABiz
Read Online

Who Needs a Risk-Based Compliance Model? You, Do
March 10, 2011
On Wall Street
Read Online

Social Media Compliance Is A Gray Area
March 8, 2011
Financial Advisor
Read Online

Tips For Brokers Making A Switch
March 7, 2011
Wall Street Journal
Read Online

The Bull Whisperer
March 4, 2011
Bloomberg BusinessWeek
Read Online

February 2011

US Trust’s ‘Garden Leave’ May Start Trend
February 22, 2011
Dow Jones Newswires Broker’s World
Read Online

Use of Social Media in Focus
February 20, 2011
InvestmentNews
Read Online

The Ramifications, Pitfalls and Unexpected Consequences of a Uniform Fiduciary Standard
February 20, 2011
On Wall Street AdvisorTV
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Exodus
February 1, 2011
Financial Advisor Magazine
Read Online

January 2011

Harmonization of Advisor, Broker Rules Will Cement Need for SRO
January 31, 2011
AdvisorOne
Read Online

Dynasty Financial Partners Ends Legal Squabble with Bank of America, Clearing Deck for Growth
January 25, 2011
RIABiz
Read Online

Winners And Losers In The Wake Of The SEC’s Fiduciary Study
January 25, 2011
RIABiz
Read Online

December 2010

Custodians Taking Closer Look at Adviser Compliance
December 27, 2010
InvestmentNews
Read Online

Wondering Whether to Register With the States or The SEC? It’s a Moving Target
December 20, 2010
RIABiz
Read Online

2010s Best Tech for Advisors
December 15, 2010
Morningstar Advisor
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Bank of America Throws a Legal Wrench at Big Wealth Management Start-Up
December 15, 2010
RIABiz
Read Online

The Truth about Trademarking: Common Mistakes to Avoid When Choosing a Name for Your Business
December 15, 2010
Registered Rep.
Read Online

Hou-Sear Team Can’t Beat RIAs So it Joins Them
December 14, 2010
Forbes
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Merrill Lynch Stars Take a Leap of Faith to a New Office – And Independence
December 13, 2010
Forbes
Read Online

Turning on the Charm
December 1, 2010
Financial Planning
Read Online

November 2010

Custodians Defend Their Records in Having RIA Backs in Battles for the Fiduciary Standard and Against FINRA Takeover
November 23, 2010
RIABiz
Read Online

Advisors in the Airport Shuttle Make Suggestions for Taking the MarketCounsel Member Summit to the Next Level
November 23, 2010
RIABiz
Read Online

Securities Trading Meets Social Networking
November 22, 2010
Forbes
Read Online

Envestnet’s Crager and Fidelity’s Durbin Both Say Soon-to-be-Realized Scale Advantages Will Bring More Wirehouse Assets into Play
November 22, 2010
RIABiz
Read Online

Advisers Grapple with Regulatory Disconnect
November 21, 2010
InvestmentNews
Read Online

Testy words pass between advisors and regulatory panelists at MarketCounsel conference
November 19, 2010
RIABiz
Read Online

The MarketCounsel Member Summit hums in the Nevada desert
November 18, 2010
RIABiz
Read Online

What I Learned from a Duo of Jersey Guys Who Visited RIABiz in Sausalito
November 15, 2010
RIABiz
Read Online

Why Registering with States Early May be a Mistake for RIAs
November 14, 2010
InvestmentNews
Read Online

ADV-like Form Sought by FINRA for Brokers
November 7, 2010
InvestmentNews
Read Online

BROKER’S WORLD: Merrill Lynch Deferred Comp Rules Face Challenge
November 5, 2010
Wall Street Journal
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LLC, Please
November 1, 2010
Registered Rep.
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May 2010

Sick of Recruiters
Research Magazine
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SIFMA will take over administration Broker Protocol list by Elizabeth MacBride and Brooke Southall
RIABiz
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April 2010

Advisor Emporium – Merger Provides Office Benefits
Financial Advisor
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March 2010

Two senior UBS brokers pass on retirement to pursue aggressive breakaway plan by Brooke Southall
RIABiz
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VOICES – Brian Hamburger, On The Upside of Independence by Harper Willis
The Wall Street Journal
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MarketCounsel Adds Backup to Email Application For Advisors by Kristen McNamara
The Wall Street Journal
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Which firms are joining the Broker Protocol, and how your firm gets on the list by Elizabeth MacBride
RIABiz
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Exploring the Broker Protocol by Shana Fuller
Registered Rep
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January 2010

New Alliance Provides MarketCounsel Clients With Access to More than 1,000 Regus Business Centers Worldwide
Associated Press
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Think Before You Tweet by Ellie Behling
Plan Advisor
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Demands for transparency, Timely Reporting Tests Investment Firms as Portfolio Complexity Increases
Global Investment Technology
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Summer 2008

Building Better Business by Alejandra Navarro
Quinnipiac Magazine
Read Online