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Registered Rep.
April 15, 2010
Halah Touryalai |
RIA M&A Deals Break Record in First Quarter Mergers and acquisitions seem to be crawling back to the top of RIA principals' to-do lists this year, as the first quarter's numbers show record activity. What is your practice worth?   |
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? |
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 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. |
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.
February 7, 2012
David A. Geracioti |
Von Aldo: AMTD Institutional Promotes Bradley, Nally Just two days after the close of iTD Ameritrade Institutional's annual gabfest, Tom Bradley, the president of the institutional unit, was named head of TD Ameritrade Holdings' retail distribution unit. Succeeding him will be Tom Nally. |
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. |
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 Advisor
June 2007
Joel Bruckenstein |
Custodians Lend A Hand The large custodial firms are ramping up their technology assistance for advisors. |
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
December 1, 2008
Brooke Southall |
RIA Power Registered investment advisory firms are bringing in more assets these days than are wirehouse brokerage firms. |
Financial Planning
April 1, 2010
Donna Mitchell |
Going for Growth As RIAs gear up to grow their practices this year, they are doing more than scooping up unhappy wirehouse clients. They have identified three major strategies: increase spending on marketing, more technology, and improve client service. |
Financial Advisor
January 2008
Bruce W. Fraser |
Growing Up Over the next five years, the typical RIA will undergo rapid transformation, and the average RIA firm is expected to at least triple in size. To accommodate such growth, hiring decisions will become critical, stretching far beyond the traditional tendency of firms to simply add more advisors. |
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.
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. |
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.
October 28, 2015 |
TD Ameritrade Institutional: Helping a Diverse Industry Find a Common Voice TD Ameritrade Institutional has made it their mission to press for the kind of recognition and collective influence afforded other professional industries. |
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. |
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.
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 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. |
Investment Advisor
July 2009
Melanie Waddell |
Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures. |
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. |
Investment Advisor
March 2010
James J. Green |
TD Ameritrade Stands Tall Record attendance was reported at the custodian's 14th annual national conference. |
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.
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. |
Investment Advisor
August 2009
James J. Green |
Now and Then An interview with Tom Bradley, president of TD Ameritrade Institutional. |
Investment Advisor
July 2010
Lewis Schiff |
Succession Planning: Buying and Selling Wealth Management Practices 2010 could be the biggest year ever for mergers and acquisitions in the financial advisory industry, but the players and strategies are different than they were prior to the market turndown. |
Financial Advisor
November 2011
Evan Simonoff |
M&A Game Changer Leading custodians in the RIA space are offering acquisition financing to firms that do business with them. |
Registered Rep.
August 25, 2008 |
What Is Your Practice Worth? Plenty--If You Are Fee-Based Considering selling all or part of your book? Buyers don't seem to care about a business model, they are only interested in the present and future revenue streams. |
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. |
Financial Advisor
May 2007
Eric Rasmussen |
What's New At The Custodian Custodians are continuing to offer new services for fee-only planners in their efforts to woo RIAs. |
Investment Advisor
May 2008
Kathleen M. McBride |
What Lurks Beneath There are many registered independent advisors and broker/dealers for whom the Bear Stearns debacle is much more than an academic exercise. |
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
March 1, 2011
James J. Green |
Human Capitalist At Pershing Advisor Solutions, the emphasis is on putting the right people in the right spots to serve high-end advisors |
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. |
Investment Advisor
March 2008
Kathleen M. McBride |
A Fortified TD Ameritrade There's lots of support for the fiduciary advisor-client relationship at the newly strengthened TD Ameritrade. |
Registered Rep.
June 25, 2009
Halah Touryalai |
Regulation, Not Growth, Is Top Concern for RIAs Clients are demanding more of their time, revenues are taking a hit and on top of it all, there's potential for major regulatory changes in their industry. |
Registered Rep.
July 19, 2011
Jerry Gleeson |
TD Ameritrade Reports Lower Profit, but, at RIA Unit, Breakaway Recruitment Is Up Profits and revenues fell at TD Ameritrade Holding Corp. last quarter as trading waned at the discount brokerage, but Chief Executive Fred Tomczyk said TDA Institutional has brought on 260 breakaway brokers over the past three quarters |
Registered Rep.
April 9, 2012
Jerry Gleeson |
RIA Rising: TD Ameritrade's Dorsey on What Advisors Should do First Peter Dorsey, TD Ameritrade's new managing director of institutional sales, has this tip for advisors: restrain the urge to tell potential clients what you know at the get-go. |
Investment Advisor
March 2009
James J. Green |
Catching Up With... Catching Up With Tom Bradley |
Investment Advisor
September 2008
James J. Green |
The Quiet, but Growing Custodian A quiet but consistently growing player in the advisor custody space, and a unique one, is Trust Company of America. |
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 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 Planning
January 1, 2013
Donald Jay Korn |
Top Custodians: Battling for Custody Custodians try different strategies for growth as advisors break away to join RIA firms. |
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 Advisor
May 2011
Drucker & Davis |
Lean On Me Custodians have ramped up the services they offer to registered investment advisors. |
Registered Rep.
June 23, 2005
Kristen French |
Ameritrade Deal Creates a Stronger Competitor in the Advisory Business Ameritrade will acquire TD Waterhouse rather than accept a takeover offer from E*Trade. |
Financial Planning
June 1, 2008
Elizabeth O'Brien |
Set Me Free LPL Financial staked a bigger claim on the independent advisor market last month with the announcement that the broker-dealer will allow its advisors to do business under their own RIA. |
Investment Advisor
November 2009
James J. Green |
Editor's Note: At Least One Booming Market One sector of the economy appears to be booming and that's the survey industry. |
