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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 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. November 6, 2012 John Aidan Byrne |
DIY Platforms Are Gaining the Mass Affluent Pressure to serve only the wealthiest, wirehouses are ceding the mass affluent to the independent, DIY brokerage platforms. Indeed, "direct" brokerages are beginning to offer more advice.  |
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.  |
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 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 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. 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. 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.  |
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.  |
Registered Rep. July 18, 2011 Jerry Gleason |
Schwab Gained Advisor Assets in Q2 Investor taste for trading fell off in the second quarter, but assets at Schwab Advisor Services continued to climb.  |
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.  |
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 Planning August 1, 2005 Bob Hirschfeld |
TD Ameritrade's Good Deal The merger of the two online broker-dealers will transform the new firm into a top contender.  |
Registered Rep. October 1, 2005 John Kador |
Schwab Does It Again Charles Schwab, the pioneering discount broker who was slammed by the tech wreck and suffered through protracted management struggles in the past two years, is beating the wirehouses at their own game.  |
Registered Rep. October 17, 2011 Jerry Gleeson |
Schwab Trading Revenue Spikes in Q3; Asset Revenue Flat Summer market volatility took its toll on Charles Schwab Corp.'s third-quarter results.  |
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. 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 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.  |
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.  |
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 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.  |
Registered Rep. July 8, 2015 Jerry Gleeson |
No Slowing RIA Growth In the financial advisory industry there are potential regulatory burdens, fickle investors, and crafty competitors -- but nothing has changed the relentless march of the registered investment advisor space since the 2008 crash.  |
Financial Planning April 1, 2005 Kristen French |
The Referral Challenge TD Waterhouse is betting that a referral program modeled on Schwab's highly successful system will help it hold on to high-net-worth clients.  |
Financial Planning November 1, 2007 Elizabeth O'Brien |
A Visionary Move An interview with Mark Tibergien, a well-known and respected consultant at Moss Adams, as he takes the helm at Pershing Advisor Solutions.  |
Financial Planning November 1, 2009 Menchaca & Schultz |
Citi Limits? Citi Personal Wealth Management's plan to build a fee-only investment advisory business, announced on Oct. 5, is a bold move into the RIA space.  |
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 23, 2005 Kristen French |
Ameritrade Deal Creates a Stronger Competitor in the Advisory Business Ameritrade will acquire TD Waterhouse rather than accept a takeover offer from E*Trade.  |
Registered Rep. June 1, 2005 |
A Hit with the Rich The percentage of high-net-worth households naming a registered investment advisor (RIA) as their primary advisor rose to 46% in 2004 from 30 percent in 2001. The growth came at the expense of the wirehouses.  |
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.  |
Registered Rep. January 18, 2011 Jerry Gleeson |
Schwab, TDA See Jump In Assets, Trading After a summer drought in market activity, investors began trading in larger numbers last quarter.  |
Financial Advisor February 2004 Sydney LeBlanc |
Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms.  |
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 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.  |
Wall Street & Technology June 13, 2006 Larry Tabb |
Swimming Upstream Online brokers need to work with clients and provide a properly balanced set of services. That way, you may be moving upstream, but you're not swimming against the current.  |
Investment Advisor March 2010 James J. Green |
TD Ameritrade Stands Tall Record attendance was reported at the custodian's 14th annual national conference.  |
Registered Rep. April 30, 2009 Christina Mucciolo |
Schwab Says It's Going On Offense -- As If It Weren't Already The company is preparing to go on the "offense" to gain market share -- both in terms of winning client assets and recruiting breakaway brokers.  |
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.  |
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 Charles Paikert |
Schwab's Advisor Services Results Beg the Question: Has the Breakaway Brokerage Phenomenon Peaked? Has the great diaspora of breakaway brokers to Independence Land -- either independent b/ds or RIAs -- climaxed?  |
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.  |
Registered Rep. July 26, 2011 John Aidan Byrne |
Online Brokerages Still Grabbing Market Share From Wirehouses Online brokerages continue to take market share from the wirehouses, according to a new report.  |
Investment Advisor July 2010 James J. Green |
Your Next Custodian Mike Kavanagh and his team at RBC Advisor Services enter the custody space with ambitious plans to attract big advisory firms.  |
Registered Rep. April 5, 2012 Jerry Gleeson |
Who will Aggregate the Aggregators? New RIA Consortium Advizent Thinks Big Two executives with deep roots in the registered investment advisor industry are looking to aggregate a broad swath of RIAs in the latest effort to squeeze better deals out of custodians and fund managers.  |
Financial Planning August 1, 2011 Donna Mitchell |
Hot Topics News: Schwab's Independent Reach... Fisher Contests Ruling... No PE Stampede... On the Move...  |
Investment Advisor October 2009 James J. Green |
More on Migration Cerulli Associates estimates that $800 billion will be moving as advisors change firms.  |
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. January 28, 2011 John Aidan Byrne |
Banks Losing Mass Affluent To Online Brokerages U.S. and Canadian banks say developing mass affluent wealth management business is a top priority, but they're not doing enough about it.  |
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.  |
Financial Advisor March 2004 Evan Simonoff |
Editor's Note Virtually none of the several dozen advisors I spoke with was dissatisfied with the state of their business. At least if they were, they weren't saying so.  |