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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 2006 Andrew Gluck |
The Gluck Report, Part I: Watch This One Start-up Trust Company of America is challenging the big custodians and is going after a very specific segment of the RIA business. The company has also just unveiled a technology platform the rivals Schwab, Fidelity and Waterhouse.  |
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.  |
Financial Advisor May 2004 Raymond Fazzi |
Niche Players Provide More Choices For Advisors Many are trying hard to differentiate themselves---and are succeeding.  |
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.  |
Financial Advisor March 2006 Joel Bruckenstein |
A Different Kind Of Custodian Trust Company of America (TCA) wants be your custodian. Why would an advisory firm seek out TCA, as opposed to one of the more established players? There are a number of reasons, including the TCA pricing model, proprietary tools and unique capabilities.  |
Financial Advisor November 2005 Tracey Longo |
All For Advisors Brokerage executives are doing their best to deliver the tools advisors need to move their business to the next level, while still remaining efficient. That includes streamlined technology, investment and rebalancing selections, outsourcing, practice management and business development assistance.  |
Financial Advisor August 2006 Raymond Fazzi |
Custodians Duel Over New Services Competition in the fee-based advisory field and the pressure to grow assets and operations is not only forcing changes upon advisors, but also the custodians who serve them.  |
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 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.  |
Investment Advisor November 2007 Lauren Barack |
Give Them What They Want Understanding they can't offer every tool to every advisor, custodians are nevertheless making sure to remain flexible enough to meet advisors' ever changing demands.  |
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.  |
Financial Advisor February 2004 Sydney LeBlanc |
Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms.  |
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.  |
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.  |
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. 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 August 2004 Raymond Fazzi |
Custodians Filling Different Niches Many advisors find just one custodian isn't enough.  |
Financial Planning February 1, 2006 Donald Jay Korn |
Custody Battle Although three custodians now get most of the RIA business, increased competition may lead to more choices -- and more services -- for financial planners.  |
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 Advisor September 2010 Joel P. Bruckenstein |
Key Role Custodians are upping their technology offerings to RIAs.  |
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.  |
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. 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 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.  |
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.  |
Financial Planning May 1, 2007 Elizabeth O'brien |
Snagging Breakaways Schwab Institutional and Cambridge Investment Research have joined forces to attract financial advisors turning independent. But just how big is the prize?  |
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 August 2010 Raymond Fazzi |
Looking To Streamline Now that they've experienced the harsh consequences of poor business management, fee-based advisors are looking to their custodians and broker-dealers for all the help they can get.  |
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. 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.  |
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.  |
Financial Advisor June 2007 Joel Bruckenstein |
Custodians Lend A Hand The large custodial firms are ramping up their technology assistance for advisors.  |
Financial Advisor January 2008 Tracey Longo |
Breakaway Brokers Despite being in business a shorter amount of time than the average advisor, breakaways have more assets under management, higher total revenues and a significantly higher growth rate.  |
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.  |
Financial Advisor September 2005 Raymond Fazzi |
A Question Of Trust Custodians square off in a newly competitive trust services market.  |
Financial Advisor February 2007 |
Frontline News Schwab Offering Loans To RIAs Going Independent... TD Ameritrade Purchases iRebal... Suitability Standards For DPPs Could Rise... N.J. Firm Was B-D's Biggest Catch In '06... etc.  |
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. 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. 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 May 2011 Drucker & Davis |
Lean On Me Custodians have ramped up the services they offer to registered investment advisors.  |
Registered Rep. September 24, 2015 |
The 2015 Wealth Management Industry Awards Winners Companies like Charles, Schwab, Fidelity, and Betterment are profiled for their achievements in financial services.  |
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 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  |
Financial Planning June 1, 2006 Elizabeth O'Brien |
Dueling Platforms As the major custodians enhance their technology offerings for registered investment advisers, they're all seeking a competitive edge.  |
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.)  |
Financial Advisor April 2010 Joel P. Bruckenstein |
Productivity Punch Trade PMR, a lesser-known custodian, is getting more attention from advisors, partly because of its standout custody platform.  |
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 January 2006 Sydney LeBlanc |
Embracing The F Word US Fiduciary offers a business model that is attracting ultra-high-end advisors who want to be fiduciaries.  |
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.  |