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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.
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.
Financial Advisor December 2011	Frontline News Investors Can Change Irrational Behavior... Tax Changes for 2012... The Certified Financial Planner Board of Standards launched a four-year, $36 million public awareness marketing campaign... more...
Financial Planning January 1, 2011 Donna Mitchell	Spreading the News After being educated about the requirements for a CFP and the approach these planners take in offering financial advice, consumers say they are more likely to seek out a CFP for help with managing their money.
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. 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.
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.
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. 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. 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. 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.
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. 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. April 11, 2014 Diana Britton	Is the CFP Board Losing Credibility in the Eyes of Advisors? WealthManagement.com surveyed 321 CFP holders and found that one-third believe the recent scandals detract from the perceived value of the designation.
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. April 5, 2012 Jerry Gleeson	Who will Aggregate the Aggregators? New RIA Consortium Advizent Thinks Big Two executives with deep roots in the registered investment advisor industry are looking to aggregate a broad swath of RIAs in the latest effort to squeeze better deals out of custodians and fund managers.
Registered Rep. February 1, 2006 Kevin Burke	Schwab's Turnaround Tale Charles Schwab has managed to reverse its fortunes in a relatively short period of time thanks to a smart ad campaign and major cost-cutting.
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.
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. June 16, 2011 Jerry Gleeson	CFP: Financial Plans' Peace of Mind Loosens Purse Strings, Too Financial plans are considered a wise investment for households, but can they save the national economy?
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. 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. 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.
Investment Advisor December 2006 James J. Green	The Conference Season The fall is conference season for investment advisors and financial planners, marked this year by two of the biggest annual gatherings held just weeks apart -- The Financial Planning Association's meeting followed by Schwab Institutional's Impact show.
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. 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. 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.
Financial Planning December 1, 2012 Kenneth Corbin	Raising the CFP Profile: CEO Kevin Keller Discusses Enforcement CFP Board CEO Kevin Keller talks about enforcing the fiduciary standard and building the image of the profession.
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. 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 November 2012 Ben Mattlin	Getting The Word Out Financial advisory firms are looking at innovative ways to market themselves.
Registered Rep. December 13, 2011 Charles Paikert	Regional RIAs Race To Expand Nationally In 2012 As Schwab Makes Move Regional wealth management firms are accelerating their efforts to expand nationally next year.
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.
Registered Rep. May 15, 2003 Ross Tucker	Feeling the Flow Net asset flow figures among the nation's top firms indicate that Charles Schwab is leading in the race to add new assets.
Registered Rep. April 23, 2014 David Armstrong	Editor's Letter: May 2014 The CFP Board's refusal to recognize problems doesn't bode well for the future of an organization that continues to play a vital role.
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. 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.
Financial Advisor September 2006 Andrew Gluck	Referencing Referrals While many financial advisors around the country struggle to bring in new clients and grow their businesses, others enjoy an embarrassment of riches -- they have so much new business they don't know how to handle it. Why?
Financial Advisor February 2004 Sydney LeBlanc	Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms.
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. 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. 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.
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. 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 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.
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.
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.
Search Engine Watch July 14, 2008 David Szetela	Creating PPC Campaigns: the 'Live or Die' Settings Think you know the right way to set up a new PPC campaign? Paying close attention to the details many advertisers miss can position you for success and help you avoid common pitfalls.
AFP eWire October 16, 2006	Advertising Council Unveils New Giving Campaign The campaign, which is titled "Generous Nation" and includes the call-to-action "Don't Almost Give. Give," will feature television and Internet advertising and a website to help link interested individuals with opportunities to help.
Investment Advisor December 2005 James J. Green	Talk to Chuck Schwab the company began as a transaction service, then moved into mutual funds, but Schwab the man believes his greatest legacy was his ability to democratize investing, and to support the notion that people could get their advice from someone who did not have a conflict of interest.