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Investment Advisor
July 2009
Melanie Waddell
Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures. mark for My Articles similar articles
Financial Advisor
February 2011
Evan Simonoff
A Different Playing Field Regulatory reform is at the top of RIAs' minds going into 2011. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
October 28, 2015
TD Ameritrade Institutional: Helping a Diverse Industry Find a Common Voice TD Ameritrade Institutional has made it their mission to press for the kind of recognition and collective influence afforded other professional industries. mark for My Articles similar articles
Investment Advisor
August 2009
James J. Green
Now and Then An interview with Tom Bradley, president of TD Ameritrade Institutional. mark for My Articles similar articles
Financial Planning
December 1, 2012
Ackermann et al.
Hot Topics TD Ameritrade Institutional's aggressive recruiting... Small RIAs move to state regulation... Rosier view for affluent investors... mark for My Articles similar articles
Registered Rep.
July 19, 2011
Jerry Gleeson
TD Ameritrade Reports Lower Profit, but, at RIA Unit, Breakaway Recruitment Is Up Profits and revenues fell at TD Ameritrade Holding Corp. last quarter as trading waned at the discount brokerage, but Chief Executive Fred Tomczyk said TDA Institutional has brought on 260 breakaway brokers over the past three quarters mark for My Articles similar articles
Investment Advisor
October 2010
John Sullivan
Tom Bradley's Vision for the Future The head of TD Ameritrade Institutional looks back on 25 years with the company, and speaks frankly about the keys for future advisor success 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
Investment Advisor
March 2009
James J. Green
Catching Up With... Catching Up With Tom Bradley mark for My Articles similar articles
Financial Planning
February 1, 2012
John F. Wasik
State of Regulation As states take over regulation of RIAs with up to $100 million in assets under management, many firm owners are wondering if the transition will prove difficult. mark for My Articles similar articles
Financial Advisor
July 2011
Andrew Gluck
Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance. mark for My Articles similar articles
Registered Rep.
April 18, 2011
Jerry Gleeson
TD Ameritrade Signs Up More Breakaways TD Ameritrade saw 95 breakaway brokers sign up last quarter, bringing average initial assets of $30 million each to the custodian platform. mark for My Articles similar articles
Financial Advisor
May 2011
Andrew Gluck
Finra Makes Its Move Who regulates financial advisors may shift. Here's a look at the positions various groups are taking on fiduciary standards. mark for My Articles similar articles
Investment Advisor
July 2010
Melanie Waddell
A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward. mark for My Articles similar articles
Registered Rep.
June 29, 2010
Halah Touryalai
The New Sheriffs In Town The SEC examines about 9 percent of the 11,000 or so advisory firms under its jurisdiction annually. All of that is about to change with a little help from regulators at the state level. mark for My Articles similar articles
Investment Advisor
July 1, 2011
Melanie Waddell
Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface. mark for My Articles similar articles
Registered Rep.
March 14, 2012
Jerry Gleeson
The Long Goodbye This year, about 3,200 mid-sized RIAs will say goodbye to the Securities and Exchange Commission, transferring their registration to the states where they do business. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
March 2009
James J. Green
News: A Sense of Resolve? Among RIAs and broker/dealers, the need to move ahead trumps market uncertainty. mark for My Articles similar articles
Investment Advisor
March 2008
Kathleen M. McBride
A Fortified TD Ameritrade There's lots of support for the fiduciary advisor-client relationship at the newly strengthened TD Ameritrade. mark for My Articles similar articles
Registered Rep.
February 7, 2012
Diana Britton
Are Regulations Killing the Hybrid Financial Advisor? Some advisors say new compliance and regulatory burdens under Dodd-Frank are making the hybrid model untenable. mark for My Articles similar articles
Registered Rep.
June 30, 2010
Christina Mucciolo
Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly. mark for My Articles similar articles
Registered Rep.
September 16, 2011
Jerry Gleeson
RIA Interest in Financial Planning Grows, Industry Data Suggests Financial planning activities are playing a growing role in the service offerings of registered investment advisors. mark for My Articles similar articles
Financial Planning
March 1, 2011
Larry Light
The Tradeoff Registered investment advisors may end up getting to know a new regulator, but the tougher fiduciary standard they live under will also be extended to cover their broker-dealer rivals. 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
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. 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
Financial Planning
March 1, 2011
Bob Veres
Gold Into Straw In mid-January, the SEC released its "Study on Investment Advisers and Broker-Dealers" to Congress. Analyzing the study provides an insightful look into how the SEC views the "harmonization" of two different regulatory structures. mark for My Articles similar articles
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. mark for My Articles similar articles
On Wall Street
February 1, 2013
Kenneth Corbin
Regulatory Forecast Bodes Change Advisors could see talks on oversight and a fiduciary standard move forward this year. 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
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. mark for My Articles similar articles
Financial Advisor
March 2006
Frontline News AST Trust Purchases Capital Trust Co. Of Delaware... Intuit Poised To Release PortfolioMinder... Financial Advisor Plans Top RIA Ranking... Morningstar Workstation Available At TD Ameritrade... Rule Is `First Step'... etc. 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
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
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.
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
Registered Rep.
July 8, 2015
Jerry Gleeson
The New Sheriffs In 2012, more than 2,000 RIA firms who had only known the regulatory scrutiny of the Securities and Exchange Commission were transitioned over to the Wild West of state securities regulators. mark for My Articles similar articles
Financial Advisor
October 2010
Andrew Gluck
Pulling The Switch Are state regulators ready to assume oversight of some 4,200 RIAs? mark for My Articles similar articles
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. 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
Investment Advisor
December 2009
Kathleen M. McBride
B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard. mark for My Articles similar articles
Financial Advisor
June 2012
Jim McConville
Advisor Groups Renew Challenge To Finra's SRO Cost Estimates A coalition of financial advisor industry groups last month resumed its assault on the Financial Industry Regulatory Authority's cost estimates for creating a self-regulatory organization to review investment advisors. mark for My Articles similar articles
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. 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
Financial Planning
July 1, 2009
Paul Menchaca
Soft Landing Most Wall Street refugees are taking measured steps toward independence by joining an independent broker/dealer, rather than launching a registered investment advisory practice on their own. mark for My Articles similar articles
Investment Advisor
October 2009
James J. Green
More on Migration Cerulli Associates estimates that $800 billion will be moving as advisors change firms. mark for My Articles similar articles
Investment Advisor
May 1, 2011
Follow the Leaders: The 2011 IA 25 Announcing the 2011 IA 25 - Fiduciary, behavior, retirement and much more mark for My Articles similar articles