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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 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. 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 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.  |
Investment Advisor September 2009 Melanie Waddell |
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away.  |
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.  |
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. 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. 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. 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?  |
Registered Rep. March 1, 2006 Kristen French |
The Best of Both Worlds Advisors say the broker/dealer-RIA hybrid model gives them freedom to choose what products, services and fees are best for their clients.  |
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.  |
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. 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. 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.  |
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 August 2008 Elizabeth D. Festa |
Springtime for Brokers Custodians and independent B/Ds roll out the carpet.  |
Financial Advisor November 2007 David J. Drucker |
In The Land Of Giants If a smaller custodian comes along that can successfully execute a platform of services advisors can't get from Schwab, Fidelity or TD Ameritrade, it's going to find a place with advisors.  |
Financial Advisor August 2004 Raymond Fazzi |
Custodians Filling Different Niches Many advisors find just one custodian isn't enough.  |
Investment Advisor August 2005 Mark Tibergien |
Formulas for Success: Independence Day There is a growing trend toward registered reps moving out of the wirehouse environment -- a trend invisible to most, but obvious to the country's leading custodians: they are actively wooing breakaway brokers.  |
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.  |
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.  |
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.  |
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 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.  |
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 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. 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 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.  |
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. 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.  |
Registered Rep. May 2, 2011 Diana Britton |
Top LPL Advisor Leaves to Start His Own B/D, Eyes Acquisitions Registered Rep.'s top-rated 2010 independent broker/dealer advisor Ron Carson has announced plans to leave LPL Financial  |
Financial Advisor September 2010 Joel P. Bruckenstein |
Key Role Custodians are upping their technology offerings to RIAs.  |
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. March 1, 2008 |
A Matter Of Trust What are the biggest hurdles that clearing and custody firms will face in the coming year?... Why did LPL go self-clearing, and will other b/ds follow?...  |
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.  |
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 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.  |
Investment Advisor March 2009 James J. Green |
Catching Up With... Catching Up With Tom Bradley  |
Financial Advisor May 2004 Raymond Fazzi |
Niche Players Provide More Choices For Advisors Many are trying hard to differentiate themselves---and are succeeding.  |
Registered Rep. February 17, 2012 Timothy D. Welsh |
Live From Dallas: Mobile Apps, Cloud Computing and Integration - Key Themes at Tech Conference for Rias I work with many of the technology companies that support independent RIAs and will be blogging about what's hot in advisor tech, industry trends, and what the influencers are saying.  |
Investment Advisor September 2008 Bob Clark |
Who's Your Daddy? Philip Palaveev's new gig as president of Fusion Advisor Network foreshadows the future of independent advice.  |
Registered Rep. April 16, 2012 Jerry Gleeson |
Schwab RIA Unit Sees "Consistent" Growth Schwab Advisor Services is signing up advisor assets at a pace that tracks its historical average.  |
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.  |
Registered Rep. June 2, 2011 Diana Britton |
America's Top Independent Brokerages The Merrills and Morgan Stanleys of the world say it was never an exodus, the migration is over, and it was only those advisors who couldn't make it in the cutthroat wirehouse world who crossed over to the independent side of the business.  |
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.  |
Financial Planning January 1, 2010 Stacy Schultz |
Making a Statement When Raymond James bumped up its minimums in November, it positioned itself for a new standard, but could bad timing hinder its strategy?  |
Registered Rep. April 2, 2012 Diana Britton |
Concert Breaks Into the Hybrid Market Via LPL Partnership RIA aggregator Concert Advisor Services has launched a new hybrid platform, Concert Advisors, and partnered with independent broker/dealer LPL Financial to provide brokerage and custody services.  |
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.  |
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.  |