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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. 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.  |
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.  |
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 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. 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.  |
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. 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.  |
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.  |
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.  |
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 Planning December 1, 2007 Jeanne Lee |
Fidelity Ups Its Game The Boston behemoth is introducing new, integrated technology that promises practice management nirvana. Will it captivate -- and capture -- the RIA market?  |
Registered Rep. January 27, 2010 Jerry Gleeson |
Two Key Execs Depart Fidelity Why all the turnover in top brass at Fidelity?  |
Investment Advisor January 2010 Robert F. Keane |
Catching Up With...Mike Durbin A short interview with the head of Fidelity Institutional Wealth Services.  |
Financial Planning July 1, 2013 Patrick Sweeny |
How to Talk About Your Fees Clients deserve straight answers on the ways they pay for your services.  |
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 March 2008 James J. Green |
Fast Growing RIAs Tied to Breakaway Brokers A new study commissioned by Fidelity Investments of the fastest growing RIA firms found that firms that grew their assets under management by more than 100% over the past three years have a lot of common factors.  |
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. 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.  |
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.  |
BusinessWeek June 7, 2004 Lee & Young |
Is Schwab's Latest Come-On Enough? Brokerage firm Charles Schwab & Co. is slashing commissions in a bid to win over the high-net-worth clients it so badly needs.  |
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 April 2010 Robert F. Keane |
Catching Up With... A short conversation with Fidelity Client Experience Executive VP Maggie Serravalli.  |
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 December 2007 Joel P. Bruckenstein |
Fidelity's Silver Bullet If WealthCentral meets expectations, it will create significant efficiencies and cost savings for those who take full advantage of it. If Fidelity can pull it off, it will leapfrog the technology offerings of other custodians, as well as those of independent providers, by a significant margin.  |
Registered Rep. October 1, 2005 |
60 Seconds with Bill Carey (Head of Fidelity's RIA group) The former president of Fidelity's institutional retirement business and a 12-year veteran of the firm talks about his plans for the advisory unit and the challenges confronting advisors.  |
Financial Advisor September 2004 Dorothy Hinchcliff |
Here Come The Big Boys Fidelity and Pershing are competing for advisors' trust business.  |
Registered Rep. October 21, 2015 Ryan W. Neal |
MoneyGuidePro, eMoney Join Forces The two biggest names in financial planning software are now partners.  |
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. 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.  |
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. 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.  |
Registered Rep. May 1, 2005 |
13 Percent Percentage of advisors who say they have switched to a wealth management model.  |
Registered Rep. February 22, 2011 Lauren Barack |
Fidelity Launches Its First Mobile App For Adv Advisors who hopscotch across their territories visiting clients now have mobile access to client files and financials on their iPhones -- at least those who custody with Fidelity.  |
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.  |
Investment Advisor January 2009 Kara P. Stapleton |
Upgrades New products and programs: Fidelity Institutional Wealth Services WealthCentral platform... Vanguard will launch the firm's first international small-cap index fund... United Capital Financial Partners acquires three investment advisory firms... etc.  |
Financial Advisor February 2004 Sydney LeBlanc |
Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms.  |
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.  |
Financial Advisor September 2005 Raymond Fazzi |
A Question Of Trust Custodians square off in a newly competitive trust services market.  |
Investment Advisor July 2008 James J. Green |
Further Integration at Fidelity Registered independent advisors and broker/dealer arms at Fidelity announce a joint program.  |
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 December 2007 Andy Gluck |
What The Tech Deals Mean To You Nearly a decade since the first Internet applications for advisors appeared, we are seeing their adoption and acceptance in all corners of the industry. What does it mean now?  |
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.  |
Registered Rep. February 14, 2012 Diana Britton |
Yield of Dreams: IBD's Biggest Competition Might be a Custodian As margins continue to be squeezed, IBDs are going to have to get creative with where their revenues comes from, and that means expanding into the RIA and custody market. The question is, who'll make the next move?  |
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.  |
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.  |
Investment Advisor March 2006 Kathleen M. McBride |
Fidelity's Separates The custodian rolls out an elegant SMA platform for RIAs.  |
The Motley Fool June 8, 2007 Amanda B. Kish |
Foolish Weekly Fund Wrap-Up Barclays struggles to crack 401(k) market... Funds' cash stakes falling... Fidelity chasing market share...  |
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.  |