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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.
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. 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. 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.
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 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. 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.
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.
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.
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, 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 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. 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 11, 2011 Jerry Gleeson	Top Convergent Wealth Exec Jumps to Focus Financial Lori Van Dusen, a widely regarded executive at one of the largest registered investment advisors in the country has jumped ship to start her own practice with another, much larger RIA.
Registered Rep. April 6, 2010 Kristen French	Custodians In Race To Roll Out M&A Tools TD Ameritrade Institutional is rolling out a new online business valuation tool.
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. 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 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 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. May 2, 2011 Diana Britton	Top LPL Advisor Leaves to Start His Own B/D, Eyes Acquisitions Registered Rep.'s top-rated 2010 independent broker/dealer advisor Ron Carson has announced plans to leave LPL Financial
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 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.
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. 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 September 1, 2009 Donna Mitchell	Roame on RIAs Conversations about change in the registered investment advisory space are constant these days, thanks to volatile markets, new products and demographic shifts. What sort of future will these changes create for the industry?
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. 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?
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. July 23, 2003 Nigel Goodman	Servicing Your HNWs A recent Fidelity Investments survey shows that affluent clients will still replace their advisors if they are not meeting portfolio goals. Predictably, the survey encourages advisors to become more attentive to the needs of their affluent clients.
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.
Investment Advisor September 2008 Bob Clark	Who's Your Daddy? Philip Palaveev's new gig as president of Fusion Advisor Network foreshadows the future of independent advice.
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.
Investment Advisor July 2009 Melanie Waddell	Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures.
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.
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. November 25, 2008	Fido Poaches Schwab RIA Executive Fidelity Investments negotiates a contract with the former head of Schwab's advisor business.
Registered Rep. September 24, 2014 Jerry Gleeson	Custodian Castoffs Scottrade won't comment on the number of advisors it culled last summer, but other custodians say they've seen a sharp increase in the number of former Scottrade advisors who are now looking for a new home.
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. 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 January 2008	Back Office Deal A strategic deal between Charles Schwab and a back-office consulting firm will afford RIAs more outsourcing options.
Registered Rep. August 1, 2005 Matt Barthel	RIAs in Flux The pioneering ways of registered investment advisors (RIAs) are coming back to bite them. Once on the cutting edge of "holistic" financial planning and fee-based client relationships, RIAs are now just one of a pack of firms offering such services.
Financial Advisor November 2012 Ben Mattlin	Getting The Word Out Financial advisory firms are looking at innovative ways to market themselves.
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.
Registered Rep. December 20, 2010 Diana Britton	RIAs Reinvesting in Their Firms Despite Economic Uncertainty Forty-six percent said they are optimistic about the direction of the economy, up 30 percent from last quarter.
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 August 2008 Elizabeth D. Festa	Springtime for Brokers Custodians and independent B/Ds roll out the carpet.
Registered Rep. December 16, 2011 Jerry Gleeson	Compliance Outsourcing Gains Favor With RIAs Charles Schwab's RIA Benchmarking Study this year reports that 38 percent of firms were outsourcing their compliance functions, up from 27 percent in 2010.
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.
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.