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Financial Planning
April 1, 2008
Stacy Schultz
Growing RIAs A new study from Fidelity Investments found that registered investment advisory firms have grown their assets under management an average of 55% over the past three years. mark for My Articles similar articles
Investment Advisor
January 2010
Robert F. Keane
Catching Up With...Mike Durbin A short interview with the head of Fidelity Institutional Wealth Services. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Planning
June 1, 2008
Elizabeth O'Brien
Millionaires Ahoy! Independent advisors who are looking to snag more millionaire clients should focus their efforts on prospects who do not already have a registered investment advisor, according to a new study by Fidelity Investments. mark for My Articles similar articles
Registered Rep.
September 22, 2008
John Churchill
Wall Street's Pain Is RIAs' Gain: Reps Flee Wirehouses, Bring Assets to Fido And Others Despite the still-outsized signing bonuses offered by most Wall Street firms, the steady trickle of brokers leaving wirehouse firms to join or form their own RIA firms is growing. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
May 1, 2005
13 Percent Percentage of advisors who say they have switched to a wealth management model. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
December 2009
James J. Green
Catching Up With...Gary Gallagher A chat with LPL's executive VP strategic programs and support services. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
July 2008
James J. Green
Further Integration at Fidelity Registered independent advisors and broker/dealer arms at Fidelity announce a joint program. mark for My Articles similar articles
Investment Advisor
November 2006
Now and Then When it comes to plowing through the complexities that are associated with retirement planning, advisors need all the help they can get. Fidelity looks ahead to dominate retirement planning now. mark for My Articles similar articles
Investment Advisor
September 2009
Melanie Waddell
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away. mark for My Articles similar articles
Registered Rep.
February 23, 2010
Halah Touryalai
Clients, The New Breakaways First, there was the breakaway broker phenomenon; now, it seems, we have a growing vogue of breakaway clients -- former wirehouse investors who ditch their old advisors for new ones at independent RIAs or broker/dealers. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
August 2008
Elizabeth D. Festa
Springtime for Brokers Custodians and independent B/Ds roll out the carpet. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
October 24, 2007
Halah Touryalai
The New New RIA Model: Sharing Back Offices The barriers to going independent are shrinking. Don't believe it? Check out Mraz, Amerine & Hirschler & Associates, a firm launched by three wirehouse advisors who left Morgan Stanley earlier this month with $400 million in client assets. mark for My Articles similar articles
Registered Rep.
May 8, 2013
Diana Britton
Moving on Up: Go Independent and Make More $ Advisors who switched firms saw a jump in their compensation, especially among those who went independent. mark for My Articles similar articles
Wall Street & Technology
May 30, 2007
Melanie Rodier
Market for Wealth Management Compliance Systems Set to Jump 15% by 2011 Investment advisors are expected to spend the most on technology as they are among the fastest growing and most regulated group of advisors. But hedge funds are also likely to increase IT spending. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
April 2010
Robert F. Keane
Catching Up With... A short conversation with Fidelity Client Experience Executive VP Maggie Serravalli. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
December 18, 2007
John Churchill
Ellyn McColgan, Late Of Fido, Joins Morgan Stanley Ellyn McColgan, once seen as a possible successor to Ned Johnson as CEO at Fidelity Investments, has been picked to take the helm of Morgan Stanley's Global Wealth Management Group. mark for My Articles similar articles
Registered Rep.
October 25, 2010
Charles Paikert
Fidelity Targets RIAs with UHNW Clients In an effort to attract more financial advisors who have -- or would like to have -- ultra-high-net-worth clients, Fidelity Investments is offering them the same high-end services it offers to family offices. mark for My Articles similar articles
Registered Rep.
April 7, 2011
Kristen French
Switching To Independent Model Keeps Up Pace Migration to the independent financial advisor model -- independent b/ds and RIAs -- is likely to continue unabated in 2011. mark for My Articles similar articles
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? mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
December 2005
Melanie Waddell
Breaking Away Brokers are finding it easier than ever to go independent, aided by custodians and other independent advisors. mark for My Articles similar articles
Investment Advisor
April 2009
James J. Green
Editor's Note: A New Focus Now that the shock is over, it's time to get new clients. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
September 2008
Melanie Waddell
Striking While the Iron Is Hot Under the direction of Ron Fiske, Fidelity's HybridOne platform aims to serve the booming dually registered market. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
July 2009
Sherri Scordo
Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
May 2006
Murphy & Green
Breaking Away As the number of breakaway brokers continues to rise, broker/dealers and custodians have implemented programs designed to make the broker's transition to independence as seamless as possible. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
December 8, 2011
Jerry Gleeson
Fidelity's Upgrade of myStreetscape Includes Mobile Functions Fidelity's new myStreetscape is available on the Web, offers more functions, improved navigation and expanded features. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
August 2008
James J. Green
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady mark for My Articles similar articles
Registered Rep.
February 13, 2012
Jerry Gleeson
Raymond James Ramping Up Its RIA with New Leadership, Investment The new president, Bill Van Law, said the company plans to make a significant investment in the business in the months ahead. mark for My Articles similar articles
Investment Advisor
March 2006
Kathleen M. McBride
Fidelity's Separates The custodian rolls out an elegant SMA platform for RIAs. mark for My Articles similar articles
Registered Rep.
March 1, 2008
Independent Together The "RIA-in-a-box" model will attract plenty of wirehouse reps who may have previously balked at the idea of going completely independent, fearing they were unprepared to run their own businesses. mark for My Articles similar articles
Registered Rep.
April 23, 2010
Halah Touryalai
Compensation Key To Breakaway Recruiting Pitch RIA principals and consultants discuss strategies for wooing and hiring advisors from various different kinds of firms. mark for My Articles similar articles