AdvisorAssist - In the News
- FUNDfire. Breakaway Advisors Boost Schwab SMA Growth -- (Winn, 02/12/10)
- FUNDfire. Ex-Merrill Exec Builds RIA Platform at Stifel -- (Shields, 12/04/09)
- Wall Street Journal. Practice MANAGEMENT: Cost of Independence -- (Winn, 10/2/09)
- RegisteredRep Magazine. Hiring Help 101: How to Grow Your Team Successfully -- (Shields, 9/25/09)
- RegisteredRep Magazine. Going Independent: Finding the Model That Works For You -- (Winn, 9/1/09)
- FUNDfire. Morgan-Smith Barney Unveils New Unified Accts -- (Shields, 7/24/09)
- Research Magazine. The Wirehouse Boutique -- (Winn and Shields, 7/1/09)
- Research Magazine. A Drive for Independence: Wirehouse Advisors Look Under the Hoods of Indie Firms -- (Shields, June 2009)
- FUNDfire. Legg Selects Citi to Run SMA Operations -- (Shields, 5/7/09)
- Wall Street Journal. Weighing Third-Party Asset Mgmt Services -- (Shields, 3/24/09)
- FUNDfire. Citi Launches Unified Household Platform -- (Shields, 3/18/09)
- FUNDfire. RIAs Join Raid on Wirehouse Advisors -- (Shields, 1/20/09)
- FUNDfire. Two Firms Launch New Managed Acct Platforms -- (Shields, 11/24/08)
- FUNDfire. ING Builds Sales Team for Elite Advisors -- (Shields, 11/24/08)
- FUNDfire. Pershing Aims to Push RIA Platform Upmarket -- (Winn, 10/9/08)
- FUNDfire. Wachovia, R. James Aim to Add Indie Advisors -- (Shields, 9/29/08)
- FUNDfire. Managed Account Fee Systems Are Frail: Study -- (Winn, 9/2/08)
- FUNDfire. Tech Firm Buys Sunguard Managed Acct Platform -- (Shields, 8/11/08)
- FUNDfire. Hilliard Rolls Out New Unified Acct Platform -- (Shields, 7/18/08)
- FUNDfire. New Wealth Shop Opens Two Biz Units -- (Winn, 6/25/08)
- FUNDfire. LPL Joins Battle with Schwab, Fidelity, TD -- (Shields, 5/6/08)
- FUNDfire. Pershing Builds Customizable Unified Account -- (Winn, 4/24/08)
- FUNDfire. Lord Abbett Ties Advisor Push to Credit Woes -- (Shields, 4/4/08)
- FUNDfire. New Turnkey Firm Brings Broad Menu to Market -- (Shields, 3/12/08)
Press Releases
- 4/1/09 -- Consulting firm bolsters RIA-Registration business. MainStay Consulting Group LLC has appointed industry veteran Alexis Demetrakopoulos-Gray to oversee registration and compliance services of the consultancy's AdvisorAssist, a service and resource platform for financial advisors looking for business-model alternatives. "Recent industry and market events, and the continued movement toward a fee-based relationship model have increased the number of financial advisors coming to us over the last year looking to take more control of their business models to ensure consistency in their delivery of client service," says Mainstay co-founder Christopher Winn. Read more...
- 12/15/08 -- AdvisorAssist launches RIA QuickStart™ Service to assist financial advisors in transition. "The RIA QuickStart Service will enable advisors seeking independence to continue to serve clients and meet current obligations while their new firm is being established." says John Shields, co-founder of AdvisorAssist.
Industry Presentations
- State Street Bank & Trust Collective Trust Fund Forum -- (Shields, 10/29/08)
John Shields participated on a Consultants’ Panel entitled "Welcome to the Mainstream" during this client conference attended by more than 90 State Street clients and industry leaders. Topics discussed included marketing trends and flow, ideas for broadening distribution, a comparison of Collective Trust Funds versus Mutual funds, and an outlook of the marketplace over the next several years. - National Investment Company Service Association ("NICSA") -- (Winn, 5/20/08)
"Compliance Update and Service Provider Trends ". Panel moderator discussing the evolution of compliance and oversight programs for investment companies and their service providers. - PFPC, Inc. Client Summit 2007 -- (Shields, 10/09/07)
Panelist presenting on innovations, drivers of change, and challenges to come in the financial services industry. - Vestmark, Inc. Summit 2007 -- (Shields, 9/20/07)
"The Managed Accounts Marketplace - A Consultant's View". Keynote Speaker discussing challenges, trends and best practices in operations, technology and distribution for SMA/UMA sponsors, advisors and service providers. - American Bankers Association Wealth Management Conference -- (Shields, 3/27/07)
" Operating a Successful Managed Accounts Business " . Moderated a panel of industry experts in operations, technology and distribution discussing the key attributes of an efficient and effective separately managed accounts business. - National Investment Company Service Association Annual Conference -- (Shields, 2/21/06)
Panelist presenting on "A Comparison and Contrast of Investment Vehicle Structures " examining the legal, regulatory and tax complexities of various investments. - Industry Service Provider Client Roundtable -- (Shields, 1/9/06)
"SMA Operations and Technology Issues". - Financial Research Associates Managed Accounts Compliance Forum -- (Shields, 11/29/05)
"Patriot Act, Regulation S-P, and Investment Adviser Regulatory Compliance Issues". - Securities Operations Forum 7th Annual Buy Side Conference -- (Shields, 10/6/05)
"Building Compliance Into Your Daily Process". - Great Lakes Investment Management Operations Group -- (Shields, 9/28/05)
"Developing & Implementing Effective Compliance Programs". - Money Management Institute/Source Media Third Annual SMA Conference -- (Shields, 9/27/05)
Panel moderator for "Preserving Margins While Improving Efficiency" session. - Money Management Institute Compliance Conference -- (Shields, 6/2/05)
"Applicability of Gramm-Leach-Bliley to the SMA Industry and Current Obstacles to Compliance with Regulation S-P". - Chicago Area Chief Compliance Officers Meeting -- (Shields, 1/13/05)
"Role of the CCO". - Money Management Institute Webinar -- (Shields, 7/14/04)
"Distribution of Bank Investment Products".
White Papers
- "Gramm-Leach-Bliley – What Managed Accounts Participants Need to Know". June 2005.
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