Registered investment advisers (RIA)

February 8, 2012

Bold move as The Mutual Fund Store names TD's Bunch CEO

By Dan Jamieson

When TD Ameritrade announced on Monday that retail head John Bunch was departing, observers of the brokerage wondered why Mr. Bunch would leave such a plum job. Now, we know.

TD Ameritrade Institutional

February 8, 2012

A closer look inside TD's executive shuffle

By Dan Jamieson

Tom Bradley is stepping down as president of TD Ameritrade Institutional to become president of the brokerage's retail business. The big question: Is he being groomed to succeed TD boss Fred Tomczyk?

TD Ameritrade Institutional

February 7, 2012

Merrill team goes its own way, signs on with Focus Financial

By Andrew Osterland

A team advisers found that life under Merrill Lynch was too restrictive and decided to affiliate with Focus Financial.

Merrill Lynch

February 6, 2012

TD's Bradley to move to retail distribution

By IN Staff

Tom Bradley will take the helm of TD Ameritrade Holding Corp.'s retail unit, replacing John Bunch, who is leaving to head up an investment advisory firm. Tom Nally will replace Mr. Bradley as head of TD Ameritrade Institutional.

February 5, 2012

Fed's low-interest-rate policy is a threat

Whether the Federal Reserve's plan to keep interest rates near zero for a protracted period of time will encourage the business sector to expand is open to debate.

February 5, 2012

Focusing on 'yield chasing,' Finra issues watch list

By Mark Schoeff Jr.

In a market defined by low interest rates, investors are searching for higher returns. But brokers had better be careful about how they try to deliver those results, according to their primary regulator. In a 16-page letter posted on its website Tuesday, the...

February 5, 2012

Getting a firm handle on emotional intelligence

By Andrew Osterland

To a man and woman, the 1,300 advisers attending the TD Ameritrade conference in Orlando, Fla., last week likely would agree that the last four years have been the most challenging of their careers. In fact, the period's extraordinary volatility made managing client emotions as ...

February 3, 2012

Schwab signs on three more for its indie branch program

By Dan Jamieson

The Charles Schwab Corp. has moved closer to its goal of opening 12 to 14 franchised branches this year with the recent addition of three locations, said chief executive Walt Bettinger.

Charles Schwab & Co.

February 3, 2012

Focus Financial replenishes acquisition war chest

By Dan Jamieson

Focus Financial Partners has replenished its RIA acquisition war chest with a new $220 million credit facility and is keen to land high-end teams from wirehouses.

February 2, 2012