Results for "custodians"

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Michael Durbin gets to work building out Fidelity's distribution channels to advisers

December 14, 2016

In the quietly aggressive ground game of custody and clearing services, Fidelity Investments has turned to Michael Durbin to lead its next charge. By most measures, he appears well-suited for the job as head of Fidelity Institutional Product,...

Will product pricing pressures carry over to advisory fees?

November 30, 2016

As low-cost index funds and ETFs continue to take market share from higher-cost actively managed funds, financial advisers could soon find themselves caught up in the downward pressure on fees. Emily Sweet, senior analyst at Cerulli Associates,...

Advisers offer tips for surviving a cybersecurity exam

October 26, 2016

Investment advisers who have been through a Securities and Exchange Commission cybersecurity examination warned other advisers Tuesday not to wait for an inspection notice from the agency to begin fortifying their online systems. “It's like...

Custodians help advisers navigate DOL fiduciary rule

August 7, 2016

Custodians have morphed into consultants for registered investment advisory firms, navigating them through an increasingly complex regulatory landscape. Chief among new regulations financial advisers have to conform to is the Labor Department's...

RIAs should charge fees tied to net worth: TD's Tom Nally

June 9, 2016

Registered investment advisers should charge fees based on their clients' net worth instead of the size of their investment accounts, according to Tom Nally, president of TD Ameritrade Institutional. Charging clients solely based on the amount...

After record year, Pershing Advisor Solutions expects to add up to $15B in new assets in 2016

June 9, 2016

Pershing Advisor Solutions attracted $19 billion in assets under management in 2015, as the custodian for advisers and family offices posted its best year since its founding nearly 10 years ago. While 2016 is likely to fall short of that high...

RIAs are losing their competitive advantage

June 5, 2016

Registered investment advisers need a new card up their sleeve. For years, RIAs have marketed themselves as being a cut above their counterparts in the brokerage industry. While they followed a fiduciary standard, requiring them to act in their...

Why Pershing is cherry-picking the robo-advisers it offers its clients

May 6, 2016

Pershing has chosen to integrate a variety of robo-advisers as opposed to building or buying one, and has started with four very different choices. Bank of New York Mellon's Pershing, a custody and clearing firm, is adding three new digital...

Independent broker-dealers suffer worst year since credit crisis

April 25, 2016

For the independent broker-dealer industry, 2015 was the worst year in the last six, and 2016 promises to be just as difficult — if not more so. “If 2015 was bad, 2016 is worse,” said Joel Marks, the former chairman of independent broker-dealers...

New academic research challenges the honesty of financial advisers

March 2, 2016

Business school profs are taking it to the financial advice industry with a new paper charging economy-wide misconduct. “It's everywhere, not just small firms. It's pervasive.” Bill Gross is fighting to keep his case against Pimco from being...

Pershing names Hardwick COO as Dolly steps into CEO role

February 10, 2016

Pershing has named Lori Hardwick chief operating officer of the Bank of New York Mellon Corp.-owned brokerage and custody services business. Ms. Hardwick is joining Pershing from Envestnet Inc., a wealth management technology company, and will...

Top 10 hottest trends in the IBD industry

January 22, 2016

Advisers and their independent broker-dealers saw movement last year in regulation, investment products, business strategies, retirement vehicles and more. Here are 10 of the hottest topics, which are sure to continue to evolve as the year unfolds.

Biggest billion-dollar adviser moves since 2011

January 22, 2016

Over the past five years, big adviser moves have picked up steam. These interactive graphics offer more details on the biggest moves since 2011. Hover your cursor over the names of the firms for details on where advisers moved from, as well...

How to avoid becoming a tax scam victim

November 20, 2015

After the IRS' big data breach, you might want to file this under 'do as I say, not as I do.' But give the agency credit for trying. The IRS' 7 steps to avoid becoming a tax-scam victim. Does the strong debut for mobile payments company Square...

Fidelity, Schwab to halt AR Capital sales

November 19, 2015

A major clearing firm, Fidelity Clearing & Custody, and a leading custodian for registered investment advisers, Charles Schwab & Co. Inc., have halted or will halt by the end of the week sales of AR Capital products. Nicholas Schorsch's AR Capital's...

TD Ameritrade launches website to spur adviser advocacy

October 6, 2015

A leading custodian is trying to get advisers on its platform — and others in the industry — more involved in lobbying Congress on behalf of registered investment advisers. On Tuesday, TD Ameritrade Institutional launched a website designed...

TD Ameritrade weighs charging fund companies on its commission-free ETF platform

September 25, 2015

TD Ameritrade Inc. is weighing major changes to its commission-free ETF platform, including the possibility of levying fees on asset managers, an executive for the investment platform said Friday. Matthew Judge, director of wealth management...

American Funds making inroads with fee-based advisers

September 16, 2015

American Funds, once the top-selling mutual fund company, was built on the back of devoted financial advisers, many of whom earned a commission for selling its funds. But today, fee-based financial advisers and retirement plans drive most of...

Eaton Vance's NextShares gets its first custodian on board

September 8, 2015

NextShares, the new fund structure from Eaton Vance Corp. designed to reduce the costs of active management, has won its first broker-dealer partner. Two investing platforms managed by Foliofn Investments Inc. will offer the funds to financial...

Custodians try to entice breakaways with substantial perks

August 9, 2015

As larger teams move into the registered investment adviser channel, the major custodians are getting more creative and adding some sweeteners to entice big breakaway outfits. Looking to differentiate themselves by more than just their ability...

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