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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.
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. |
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. |
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.
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. |
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.
April 16, 2012
Jerry Gleeson |
Schwab RIA Unit Sees "Consistent" Growth Schwab Advisor Services is signing up advisor assets at a pace that tracks its historical average. |
Registered Rep.
April 15, 2011
Jerry Gleeson |
Trading, Fees Lift Schwab Profits Higher Continued growth in client trading and fees helped drive profits at Charles Schwab Corp. to higher-than-expected levels for the first quarter. |
Registered Rep.
February 2, 2009
Brooke Southall |
Schwab To RIAs: Expect Strong Service Despite Slowdown Despite a recent drop in share price, Schwab maintains that their long-term strategy is sound and will emerge as a winner from this credit crisis. |
BusinessWeek
June 7, 2004
Lee & Young |
Is Schwab's Latest Come-On Enough? Brokerage firm Charles Schwab & Co. is slashing commissions in a bid to win over the high-net-worth clients it so badly needs. |
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. |
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. |
Registered Rep.
October 29, 2009
Kristen French |
RJFS Raises RIA minimums, LPL Pulls Past RJ in RIA Assets Raymond James is raising minimums for new RIAs who want to custody assets on its RJFS-IAD platform from $30 million to $50 million. |
Investment Advisor
October 2009
James J. Green |
Fidelity Cuts Costs on Technology, Trading Fidelity Institutional announced a range of price cuts and time-bounded fee waivers for advisors who custody client assets at Fidelity. |
Registered Rep.
September 16, 2005
John Kador |
Charles Schwab Drops Service, Order Fees Charles Schwab Corp. has eliminated its remaining account service fees and its $3-per-order handling charge on equity trades. The decision affects about 650,000 Schwab account holders with balances below $25,000. |
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. |
Registered Rep.
July 20, 2004
Stan Luxenberg |
Back to the Future? Courage has never been in short supply at Schwab. The company was founded in the 1970s by Charles R. Schwab, and now he's back at the helm. But the task of reinvention is not a simple one. |
Registered Rep.
July 18, 2011
Jerry Gleason |
Schwab Gained Advisor Assets in Q2 Investor taste for trading fell off in the second quarter, but assets at Schwab Advisor Services continued to climb. |
Investment Advisor
December 2009
James J. Green |
Schwab Ups the Ante on ETFs Rolls out eight of its own funds, featuring very low expenses and free trading. |
Registered Rep.
February 2, 2010
Kristen French |
Fidelity Makes Trade Pricing Uniform For RIA And Retail Clients Fidelity's RIA custody division, Institutional Wealth Services, said it was cutting fees for U.S. equity and options trades. It also began offering commission-free online trades for its iShares ETFs and Fidelity Nasdaq Composite Index Tracking Fund. |
Registered Rep.
March 23, 2015
Ryan W. Neal |
Schwab Reveals Intelligent Portfolios For Advisors Schwab is making the technology the backbone of an account management tool for registered investment advisors. |
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. |
Investment Advisor
January 2008 |
Back Office Deal A strategic deal between Charles Schwab and a back-office consulting firm will afford RIAs more outsourcing options. |
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.
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. |
Registered Rep.
November 12, 2004
John Churchill |
Schwab to Cut Costs The nation's largest discount brokerage firm, Charles Schwab & Co., is cutting 19 retail branches in favor of smaller, one- or two-broker boutiques, a move the company says will cut costs and more effectively serve clients. |
Registered Rep.
September 10, 2009
David A. Geracioti |
Fido's RIA Unit Cuts Fees The average financial advisor has taken a big hit in production and therefore net income. But RIA custodians are turning that into something of a marketing tool. |
Registered Rep.
November 13, 2015
Ryan W. Neal |
Despite Volatility, Advisor Confidence High The market volatility in the third quarter wasn't enough to shake advisor optimism. |
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. |
Registered Rep.
August 26, 2011
Jerry Gleeson |
Schwab Apologizes Over Sales Pitch to Advisor Clients Schwab found itself apologizing for violating its own policy of pitching portfolio products to retirement plan sponsors who were clients of retail financial advisors and turnkey asset management programs that have custodial relations with the firm. |
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.
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.
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. |
Registered Rep.
August 30, 2010
Halah Touryalai |
Schwab Buys ETF Firm Schwab paid $150 million in cash and stock for the company, which fits into Schwab's longer-term strategy of expanding its ETF offerings. |
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. |
Registered Rep.
November 25, 2008 |
Fido Poaches Schwab RIA Executive Fidelity Investments negotiates a contract with the former head of Schwab's advisor business. |
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 11, 2011
Jerry Gleeson |
Schwab, CFP Board Advertising Campaigns Reach National Audience At least two national ad campaigns have been launched this year promoting segments of the financial advisory business. |
The Motley Fool
July 24, 2006
Stephen D. Simpson |
Discount Broker, Expensive Stock Charles Schwab is back on track, but the stock isn't cheap. Investors, paying too much for the stock of a discount broker seems to really defeat the whole purpose. |
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. |
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. |
Registered Rep.
November 20, 2009
David A. Geracioti |
Schwab Survey Shows Many FAs at Big Firms Disgruntled (Surprise!) Obviously, the dramatic upheaval that changed the landscape of Wall Street is having some negative effect on advisors at major firms. |
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. |
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. |
Financial Planning
March 1, 2010
Donna Mitchell |
Open Season NFP Securities says it will become the first independent broker-dealer to offer hybrid advisors a single platform with complete open architecture, empowering advisors to ally with any major custodian they choose. |
Registered Rep.
October 17, 2011
Jerry Gleeson |
Schwab Trading Revenue Spikes in Q3; Asset Revenue Flat Summer market volatility took its toll on Charles Schwab Corp.'s third-quarter results. |
Registered Rep.
November 1, 2006
Kevin Burke |
Money Managers Don't Get RIA Market A large number of money managers still haven't figured out how to tap the registered investment advisor market to sell their funds, according to research. |
Investment Advisor
October 2009
James J. Green |
More on Migration Cerulli Associates estimates that $800 billion will be moving as advisors change firms. |
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. |
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. |
