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Registered Rep.
June 29, 2009
Halah Touryalai |
Schwab Cuts Some Fees for 2009 In an effort to ease the financial pain of its registered investment advisors, Charles Schwab has announced a series of initiatives that will save them money.   |
Investment Advisor
July 2008
James J. Green |
Schwab Smoothes the Road to Independence Schwab Institutional announces a multipronged platform -- with some existing planks, and some newly laid ones -- to ease the transition process for its brokers who wish to become registered independent advisors. |
Investment Advisor
August 2009
James J. Green |
Schwab Cuts Costs for Its Advisors Charles Schwab Advisor Services announced a series of moves that will have the net effect of reducing costs to the RIAs that custody with Schwab. |
Registered Rep.
October 30, 2007
Halah Touryalai |
Impact This! Schwabbies Descend Upon Vegas They didn't get to "Talk to Chuck," but attendees of the 2007 Schwab IMPACT conference did get a chance to talk to Walt Bettinger, president and chief operating officer, as well as Charles Goldman, executive vice president of Schwab Institutional in an afternoon Q&A session. |
Investment Advisor
July 2007
James J. Green |
McWhinney Out, Goldman In Deborah McWhinney, president of Schwab Institutional since 2001, resigned her position and has been succeeded by Charles Goldman, SI's COO. |
Registered Rep.
May 21, 2007
Halah Touryalai |
Schwab Institutional President "Retires" Deborah McWhinney, president of Schwab Institutional, retired this morning at the age of 52, something communicated to the firm's advisors and employees via e-mail. |
Registered Rep.
November 18, 2008
Brooke Southall |
Schwab Re-Org Combines RIAs With Retirement Biz Schwab Institutional had an awesome year in 2008, but it isn't resting on it's laurels. Schwab is reorganizing, removing a well-respected executive, and combining the RIA unit with the retirement and corporate services unit. |
Financial Planning
September 1, 2009
Marion Asnes |
Flying High Thoughts by Jim McCool, executive vice president and head of institutional services at Schwab, talks about back office focus, trust, and service. |
Registered Rep.
July 16, 2009
Halah Touryalai |
Schwab Profits Down for Q2 But Keeps Adding Breakaway Brokers Charles Schwab reported that its second quarter profit fell 31 percent, thanks to low interest rates and soft capital markets, but in the meantime the company has added 74 breakaway advisors to its RIA platform. |
Registered Rep.
September 1, 2004
Will Leitch |
Institutional Unit Is Schwab's Bright Spot With the job cuts, branch closings and refocusing currently under way at Charles Schwab & Co., there's one area that seems to be safe. Schwab's Institutional unit isn't going anywhere. |
Registered Rep.
July 5, 2011
Jerry Gleeson |
Schwab Finds RIAs Posted Record 2010 Revenue, AUM Average profits surged 45 percent last year among registered investment advisors surveyed, but don't look for a repeat of this year. |
Investment Advisor
March 2010
Robert F. Keane |
Changes at the Top for RIA Units at Fidelity and Schwab At a time when growth in the RIA channel has been robust to say the least, the two largest custodians have announced executive changes and restructuring of their units serving RIAs. |
Financial Advisor
March 2012
Bernie Clark |
The Changing RIA Advisors need to start thinking bigger and go beyond their current capabilities. |
Registered Rep.
August 2, 2004
Will Leitch |
Fallout From Schwab Shake-Up Begins It didn't take long for Charles Schwab to start making wholesale changes after taking back control of his firm last week. |
Registered Rep.
October 1, 2005
John Kador |
Schwab Does It Again Charles Schwab, the pioneering discount broker who was slammed by the tech wreck and suffered through protracted management struggles in the past two years, is beating the wirehouses at their own game. |
Registered Rep.
August 8, 2011
Jerry Gleeson |
Schwab: Franchisees Can't Poach RIA Clients Advisors who are considering Charles Schwab's new independent branch program are being told they will have to abide by the company's contact policy. |
Registered Rep.
October 24, 2007
Halah Touryalai |
The New New RIA Model: Sharing Back Offices The barriers to going independent are shrinking. Don't believe it? Check out Mraz, Amerine & Hirschler & Associates, a firm launched by three wirehouse advisors who left Morgan Stanley earlier this month with $400 million in client assets. |
Investment Advisor
April 2007
James J. Green |
A President For Schwab Walt Bettinger, a longtime Schwab executive, has been named president and COO of the company, effective immediately, raising speculation that he will succeed founder Charles Schwab as CEO. |
Investment Advisor
February 2007
James J. Green |
Schwab to Bankroll Breakaway Brokers With advisor assets at $500 billion, the custodian will offer financing to big brokers going independent. |
Investment Advisor
January 2007
James J. Green |
Schwab To Sell U.S. Trust Unit Charles Schwab announced that it would sell its U.S. Trust unit to Bank of America for $3.3 billion in cash in a deal that should close in the second quarter of 2007, assuming it passes the necessary regulatory hurdles. |
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. |
Registered Rep.
February 19, 2009
Halah Touryalai |
Where the Sellers At? RIAs are Holding Out for Better Deals Schwab executives predicted a decline mergers & acquisitions between RIAs in 2009, as potential sellers hold out for a stronger market and a better deal. |
Registered Rep.
November 1, 2004 |
Schwab's Bright Spot An interview with Deborah McWhinney, unit head of Schwab Institutional, which provides back-office and technological support for more than 5,000 advisors. Since coming from Bank of America, she has watched its assets exceed the $300 billion mark. |
Registered Rep.
April 16, 2012
Jerry Gleeson |
If You Build It, Will They Come? RIA Consortium Says Branding Is Key Advizent wants to unite the fractured universe of RIAs, impose standards on the practitioners, get better deals from vendors and educate potential clients on the merits of the independent channel. |
Financial Advisor
December 2006
Andrew Gluck |
PMS Gridlock Portfolio management software is the heart of an advisory practice -- so why are there so few options? (Hint: look in the mirror.) |
Registered Rep.
February 2, 2011
Diana Britton |
RIA M&A Hits Record in 2010, More To Come In 2011 Registered investment advisory firms were furiously busy getting hitched last year: they did the highest number of merger and acquisition deals recorded in at least seven years. |
Registered Rep.
January 25, 2010
Halah Touryalai |
LPL's New RIA Platform Rakes in Assets Since launching the platform in October 2008 through the end of 2009, the firm gathered $7.3 billion in assets. |
The Motley Fool
September 1, 2004
Tom Taulli |
Schwab's De-diversification Process The company's foray into diversification has mostly been a failure. Now, it's time to unwind the acquisitions. |
Registered Rep.
August 25, 2010
Halah Touryalai |
Better Economic Times Ahead? Your Clients Don't Think So. Advisors seem more optimistic about the economy than their own clients, according to a recent survey. |
Registered Rep.
November 26, 2010
Charles Paikert |
RIA M&A Deals On Track To Top 2009 Total The number of mergers and acquisitions completed in the registered investment advisor business through the third quarter of this year is near full-year totals for 2009, according to data from Schwab Advisor Services. |
Registered Rep.
September 14, 2009
Brooke Southall |
The Top 10 Things to Know on the Eve of Schwab IMPACT Though IMPACT events are similar from year to year, Schwab makes efforts to freshen them up. Here are some things to know headed in to Schwab's conference. |
Financial Planning
August 1, 2007
Marion Asnes |
Meet the New Boss Charles Goldman, the new head of Schwab Institutional, is firmly focused on helping financial advisors grow. |
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? |
Financial Planning
May 1, 2010
Donna Mitchell |
Advisory Pulse Registered investment advisory firms, especially small ones, are returning to the bargaining table this year; in the first quarter, RIA firms completed 24 merger and acquisition deals. |
Registered Rep.
May 5, 2008 |
LPL Financial Heats Up The RIA World The largest independent broker/dealer in the U.S. announced today it's going to launch an RIA custodian later this year, which will serve both hybrid and fee-only investment advisors who operate independent RIAs. |
Registered Rep.
August 18, 2011
Jerry Gleeson |
Market Turmoil Could Slow Advisor M&A Two industry experts expect merger and acquisition activity involving registered investment advisors will drop this year if the current volatility in the stock market stretches into the coming months. |
Registered Rep.
September 2, 2015
Megan Leonhardt |
Volatility Not Enough to Slow RIA M&A Deals The first half of 2015 saw a significant increase in merger and acquisition activity among registered investment advisory firms. |
Investment Advisor
April 2008 |
Catching up with...Patricia Cox Patricia Cox, chief operating officer of Schwab Institutional, discusses her new role and focus. |
Registered Rep.
November 25, 2008 |
Fido Poaches Schwab RIA Executive Fidelity Investments negotiates a contract with the former head of Schwab's advisor business. |
Registered Rep.
July 8, 2015
Jerry Gleeson |
No Slowing RIA Growth In the financial advisory industry there are potential regulatory burdens, fickle investors, and crafty competitors -- but nothing has changed the relentless march of the registered investment advisor space since the 2008 crash. |
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. |
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. |
Investment Advisor
July 2006 |
Upgrades Pershing LLC announced healthy growth in the number of RIAs custodying client assets and trust accounts through its Pershing Advisor Solutions unit... Charles Schwab & Co. announced June 14 a broad reduction and simplification of pricing for its retail... etc. |
Registered Rep.
October 15, 2008 |
Schwab 3Q Earnings Not Bad At All, Considering Excluding the sale of U.S. Trust in the year-ago quarter, results are mostly flat versus last year -- which is an achievement considering the market environment. |
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. |
Registered Rep.
June 1, 2005 |
A Hit with the Rich The percentage of high-net-worth households naming a registered investment advisor (RIA) as their primary advisor rose to 46% in 2004 from 30 percent in 2001. The growth came at the expense of the wirehouses. |
Registered Rep.
October 15, 2010
Charles Paikert |
Schwab's Advisor Services Results Beg the Question: Has the Breakaway Brokerage Phenomenon Peaked? Has the great diaspora of breakaway brokers to Independence Land -- either independent b/ds or RIAs -- climaxed? |
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. |
Registered Rep.
July 29, 2010
Halah Touryalai |
RIAs Keep Up M&A Momentum RIAs continue to buy and sell their businesses this year as M&A deals in the industry reach record levels. |
Investment Advisor
April 2010
James J. Green |
Navigator For years, Dan Skiles has steered advisors through the tech rocks to business safe harbors. As IA's new technology coach, he'll be your guide to the future. |
