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Financial Planning
February 1, 2006
Donald Jay Korn |
Custody Battle Although three custodians now get most of the RIA business, increased competition may lead to more choices -- and more services -- for financial planners.   |
Investment Advisor
December 2005
Andrew Gluck |
The Gluck Report, Part I: The Big Three's Tech Plans for 2006 New tech initiatives from the leading custodians have lots of features aimed at attracting and winning over RIAs without making them feel like they're losing their independence. We talk to the tech heads at Schwab, Fidelity, and TD Waterhouse. |
Financial Advisor
February 2008
Joel Bruckenstein |
Custodians Beef It Up Since advisors' work flows are often intertwined with custodian-supplied technologies, let's take a look at what the custodial firms have in store for 2008. |
Registered Rep.
April 1, 2007
John Churchill |
Can Schwab's RIA Empire be Toppled? Last year the online-broker-turned-advice-provider extended an already massive lead over rivals Fidelity and TD Ameritrade in RIA asset gathering. Is there no challenger to Schwab's throne? |
Registered Rep.
March 2, 2015
Diana Britton |
Crowded Out Some level of competition between advisors and custodians has been around for years. Still, some advisors feel recent events make the distinction between business partner and market competitor less clear. |
Registered Rep.
October 15, 2009
Christina Mucciolo |
Schwab Q3 Earning Down, But the Race For RIA Assets Is Hot Charles Schwab reported a 34 percent drop in its third quarter earnings, the firm's third consecutive quarter of slowing earnings this year. |
Financial Advisor
June 2007
Joel Bruckenstein |
Custodians Lend A Hand The large custodial firms are ramping up their technology assistance for advisors. |
Financial Advisor
September 2010
Joel P. Bruckenstein |
Key Role Custodians are upping their technology offerings to RIAs. |
Investment Advisor
November 2007
Lauren Barack |
Give Them What They Want Understanding they can't offer every tool to every advisor, custodians are nevertheless making sure to remain flexible enough to meet advisors' ever changing demands. |
Financial Planning
April 1, 2005
Kristen French |
The Referral Challenge TD Waterhouse is betting that a referral program modeled on Schwab's highly successful system will help it hold on to high-net-worth clients. |
Financial Advisor
August 2005
Raymond Fazzi |
The Logic Of Multiple Custodians As custodians serving the independent advisor market come and go, and merge and consolidate, many advisors are having a harder time finding a stable home for their clients' assets. In many cases, they're finding that using multiple custodians gets the job done efficiently. |
Financial Advisor
August 2006
Raymond Fazzi |
Custodians Duel Over New Services Competition in the fee-based advisory field and the pressure to grow assets and operations is not only forcing changes upon advisors, but also the custodians who serve them. |
Registered Rep.
July 5, 2012
Jerry Gleeson |
A League of their Own While the Big Four custodians still dominate the market, some smaller firms are making their presence felt. |
Financial Advisor
December 2011
Eric Rasmussen |
Free-Range Advisors Custodians to independent advisors are in an arms race to give bigger, better software and practice management packages. |
Registered Rep.
October 15, 2010
Jerry Gleeson |
Fewer, But Bigger Breakaway Brokers Joining RIAs With markets stabilizing and bank-brokerage merger integrations progressing, fewer brokers are fleeing the big Wall Street wirehouse firms for the RIAs and independent b/ds in 2010. |
Financial Planning
July 1, 2005
Tom Philpott |
Move Over, Advent Think killing off Techfi spelled the end of competition in the adviser-software market? Think again. |
Financial Advisor
August 2004
Raymond Fazzi |
Custodians Filling Different Niches Many advisors find just one custodian isn't enough. |
Financial Planning
December 1, 2008
Brooke Southall |
RIA Power Registered investment advisory firms are bringing in more assets these days than are wirehouse brokerage firms. |
Financial Advisor
March 2006 |
Frontline News AST Trust Purchases Capital Trust Co. Of Delaware... Intuit Poised To Release PortfolioMinder... Financial Advisor Plans Top RIA Ranking... Morningstar Workstation Available At TD Ameritrade... Rule Is `First Step'... etc. |
Registered Rep.
June 1, 2005
Kristen French |
Fido Attacks! Long a distant second to Charles Schwab in the lucrative business of serving financial advisors, Fidelity is making an aggressive push to close that gap. And some advisors are taking notice. |
Financial Advisor
February 2004
Sydney LeBlanc |
Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms. |
Registered Rep.
March 1, 2008
Christina Mucciolo |
What Can We Do For You? Clearing firms matter to advisors. In fact, one of the biggest deals in the independent b/d business last year hinged on whether the b/ds being sold could maintain their relationships with their old clearing firm. |
Financial Planning
May 1, 2011
Donna Mitchell |
Hybrid's New Groove Registered investment advisor firms looking for ways to expand their businesses might try turning to broker-dealers for a boost. |
Registered Rep.
February 23, 2010
Halah Touryalai |
Clients, The New Breakaways First, there was the breakaway broker phenomenon; now, it seems, we have a growing vogue of breakaway clients -- former wirehouse investors who ditch their old advisors for new ones at independent RIAs or broker/dealers. |
Registered Rep.
July 29, 2013
Diana Britton |
No Man Is an Island Independent broker/dealers are dressing up their offerings to attract and retain advisors tempted to start their own RIAs. |
Financial Planning
May 1, 2007
Elizabeth O'brien |
Snagging Breakaways Schwab Institutional and Cambridge Investment Research have joined forces to attract financial advisors turning independent. But just how big is the prize? |
Financial Planning
September 1, 2011
Donna Mitchell |
Happy Mediums Online brokerage giants are taking market share from almost every segment of the financial advisory business - except for RIAs. |
Financial Planning
August 1, 2005
Bob Hirschfeld |
TD Ameritrade's Good Deal The merger of the two online broker-dealers will transform the new firm into a top contender. |
Financial Advisor
January 2008
Tracey Longo |
Breakaway Brokers Despite being in business a shorter amount of time than the average advisor, breakaways have more assets under management, higher total revenues and a significantly higher growth rate. |
Investment Advisor
December 2005
Melanie Waddell |
Breaking Away Brokers are finding it easier than ever to go independent, aided by custodians and other independent advisors. |
Investment Advisor
July 2007
Green & Keane |
TD Ameritrade to Acquire Fiserv's Advisor Unit Under the complicated deal that will break up Fiserv ISS, TD Ameritrade will pay $225 million in cash for the operation. |
Financial Advisor
November 2007
David J. Drucker |
In The Land Of Giants If a smaller custodian comes along that can successfully execute a platform of services advisors can't get from Schwab, Fidelity or TD Ameritrade, it's going to find a place with advisors. |
Registered Rep.
September 28, 2010
Jerry Gleeson |
Custodians Seek Integrated Solutions To FAs' Tech Needs As custodians compete to draw advisors into the fold, they often tout the superior quality of their technology. |
Financial Advisor
January 2011
Andrew Gluck |
A Game Changer TD Ameritrade becomes the first major custodian to open its database so it can integrate with virtually any software firm supporting RIAs. |
Investment Advisor
January 2009
James J. Green |
Schwab Reorganizes; Fidelity Hires; Pershing Provides The three major custodians of RIA assets announce big executive changes and a new practice management program. |
Financial Planning
October 1, 2010
Joel Bruckenstein |
What's Next for Technology This is a time of creativity and evolution in technology, and advisor technology is no exception. As a result, RIA firms can make changes to their infrastructure and in the process create new efficiencies while actually lowering operating costs. |
Financial Planning
November 1, 2007
Elizabeth O'Brien |
A Visionary Move An interview with Mark Tibergien, a well-known and respected consultant at Moss Adams, as he takes the helm at Pershing Advisor Solutions. |
Financial Advisor
August 2010
Raymond Fazzi |
Looking To Streamline Now that they've experienced the harsh consequences of poor business management, fee-based advisors are looking to their custodians and broker-dealers for all the help they can get. |
Financial Advisor
January 2004
Dorothy Hinchcliff |
Custodians Are Knocking More custody players have been clamoring for the business of registered investment advisors, and that trend will continue this year, say two well-known research firms for financial institutions and investment managers. |
Investment Advisor
October 2009
James J. Green |
More on Migration Cerulli Associates estimates that $800 billion will be moving as advisors change firms. |
Investment Advisor
August 2008
Elizabeth D. Festa |
Springtime for Brokers Custodians and independent B/Ds roll out the carpet. |
Wall Street & Technology
October 17, 2007
Penny Crosman |
Schwab, Investment Managers Prepare for Retirement Boom Some of the 78 million baby boomers are about to retire -- how will financial advisers cope with the deluge? |
Registered Rep.
April 18, 2011
Jerry Gleeson |
TD Ameritrade Signs Up More Breakaways TD Ameritrade saw 95 breakaway brokers sign up last quarter, bringing average initial assets of $30 million each to the custodian platform. |
Registered Rep.
April 17, 2012
Jerry Gleeson |
TD Ameritrade Recruitment of Breakaways Up 10% The number of breakaway brokers joining TD Ameritrade in its fiscal second quarter continued at the double-digit pace set in 2011. |
Financial Planning
August 1, 2010
Joel P. Bruckenstein |
Waiting for "Intelligent Integration" This spring, Schwab Advisor Services announced the launch of "Project C"-an ambitious technology initiative designed to deliver high-quality, integrated solutions to advisors. |
Financial Advisor
December 2007
Andy Gluck |
What The Tech Deals Mean To You Nearly a decade since the first Internet applications for advisors appeared, we are seeing their adoption and acceptance in all corners of the industry. What does it mean now? |
Financial Advisor
August 2005
Joel P. Bruckenstein |
Pershing Pushing For RIA Business Pershing LLC is aggressively pursuing opportunities in the registered investment advisor (RIA) market segment, and has renamed its key advisor support group as part this new push, company officials said. |
Registered Rep.
February 17, 2012
Timothy D. Welsh |
Live From Dallas: Mobile Apps, Cloud Computing and Integration - Key Themes at Tech Conference for Rias I work with many of the technology companies that support independent RIAs and will be blogging about what's hot in advisor tech, industry trends, and what the influencers are saying. |
Financial Planning
July 1, 2009
Joel P. Bruckenstein |
Introducing NetX360 It remains to be seen if Pershing can execute its plan to ensure that clients receive the maximum benefit from their new NetX360 technology. If Pershing succeeds, it could give the company a large technological lead over its competitors. |
Financial Advisor
May 2011
Drucker & Davis |
Lean On Me Custodians have ramped up the services they offer to registered investment advisors. |
