Results for "custodians"

Displaying 240 results

Sort: Date | Relevance

Author:

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...

Advisers' deaths without transition plans force custodians into action

August 9, 2015

When investment advisers who are sole proprietors die unexpectedly without a continuity plan in place, the firms where they house client assets react rapidly. “Custodians are increasingly adept and swift at taking action,” said Brian Hamburger,...

Custodians and clearing firms ranked by number of clients

August 9, 2015

Custodians ranked by number of RIA custody clients Firm Website Head of RIA custody business 2015 # of clients % change vs. 2014 Assets under custody ($M) % change vs. 2014 Minimum assets of advisers Schwab Advisor Services http://www.advisorservices.schwab.com...

Is it time to jump into energy stocks?

August 4, 2015

If 13 weeks of falling energy-stock prices has you looking for an entry point, hold your fire. By most measures, the energy sector is still expensive As Curian Capital prepares to close up shop, competitors are swooping in to recruit advisers...

SEC appeals own judge's decision in case on custodians' payments to advisers for fund picks

June 29, 2015

The Securities and Exchange Commission is fighting a decision by an in-house agency judge to dismiss charges accusing two financial advisers of not informing clients they were paid by Fidelity Investments to sell certain mutual funds. In a filing...

Automated advisers attract much smaller clients than humans: Morningstar

June 25, 2015

Robo-advisers may not be able to compete with humans after all — at least when it comes to attracting clients with a greater amount of investible assets. Largely automated online financial advice platforms are able to bring in clients with...

Breaking down the best robos for your practice

June 25, 2015

There's a lot to consider when managing a financial advisory practice, but one of the more ever-present components of the business these days is whether to offer an automated online investment platform. Robo-proofing a practice is one of the...

Schwab launches adviser-facing robo service

June 23, 2015

Charles Schwab & Co. launched a second version of its automated investment service on Tuesday, this time a robo platform for advisers to implement within their own practices. It's been less than four months since the custodian debuted Schwab...

RIAs join brokers in promoting securities-backed lending

June 11, 2015

Traditionally a major focus at bank-owned brokerage firms, securities-backed loans — where a wealthy investor puts up their portfolio as collateral for a big-money purchase — are increasingly being marketed through independent registered...

TD Ameritrade Institutional: Elite LINC 2015: Advisers must brace for volatility

June 9, 2015

It's nice to be one of TD Ameritrade Institutional's "elite" financial advisers. I know because I am hanging out with 168 of them at TDAI's Elite Adviser Summit at the uber swank Grand Del Mar Resort in San Diego, Calif. Not only are they getting...

Adviser gets a rare win over the SEC in mutual fund case

June 8, 2015

A Houston-based financial-advice firm has won a rare victory over the Securities and Exchange Commission — before one of the agency's own judges — in a case spotlighting the legal challenges facing advisers who accept payments from brokerage...

Pershing CEO: RIA growth outpacing B-Ds

June 4, 2015

Registered investment advisers are the strongest driver of growth for Pershing's clearing and custody business as regulation and higher costs continue to put pressure on broker-dealers, according to chief executive officer Ron DeCicco. “The...

Exclusive: Schwab robo-adviser crosses half-billion dollar mark

March 30, 2015

The Charles Schwab & Co. robo-adviser has crossed a symbolic threshold in just three weeks, raising more than half a billion dollars, the San Francisco-based firm told InvestmentNews on Monday. Schwab spokeswoman Alison Wertheim said the Intelligent...

Waning revenues may mean more fees

March 22, 2015

If the profitability of the relationship between registered investment advisers and custodians doesn't improve, more advisers could soon find themselves paying an assortment of new fees to custodians. InvestmentNews hosted a roundtable of top...

Time for RIAs to set transition plans as SEC steps up focus

March 6, 2015

Mary Jo White, chairwoman of the Securities and Exchange Commission, recently discussed potential regulatory reforms that would lay the foundation for regulating the risks arising from portfolio composition and operations of investment advisers...

Envestnet acquires tech company Upside

February 26, 2015

Envestnet, a wealth management technology company, said Thursday acquired Upside, which provides registered investment advisers with online investment services, for an undisclosed sum. Upside advises and manages client investments on an automated...

« Previous PageNext Page »

1 | 2 | 3 | 4 | 5 | 6 | 7 ... 12