Results for "custodians"

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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...

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...

Vanguard may expand fast-growing virtual investing service to advisers

February 25, 2015

As Vanguard Group Inc.'s virtual investing platform grows exponentially, the firm is considering offering a version of it to financial advisers, an executive at the firm told InvestmentNews. Assets in Vanguard's Personal Advisor Services increased...

Fidelity combines clearing and custody units, creates tech division

February 24, 2015

Fidelity Investments combined its clearing and custody units on Tuesday and created a new technology division. Fidelity Clearing and Custody will be headed by Sanjiv Mirchandani, the president of National Financial. The combined clearing and...

Some RIAs cautious of using alts, despite industry buzz

February 17, 2015

Clients, product manufacturers and even major custodians are all pushing the advice industry toward alternative investment products, but some registered investment advisers are still holding back. Alternative investments, which generally include...

Fidelity records massive profit, despite fund outflows

February 12, 2015

Fidelity Investments increased its earnings by 29% last year, to a record $3.4 billion, despite surging investor redemptions of its mutual funds. The company's fund outflows — and its continued evolution to a diverse investment and service...

A new entry point for gold investors takes on GLD

February 9, 2015

Just as gold is regaining its luster with investors, Bank of Montreal's new gold deposit receipt program offers a new way to tap into the market for the precious metal. The Bank of Montreal's gold deposit receipt program, GOLDRs, which is aimed...

5 steps to incorporating a robo into your firm

February 3, 2015

It's time for financial advisers to start figuring out how to integrate an online advice solution into their businesses because clients will increasingly expect financial services to be delivered this way. Some early adopters of online adviser...

Exclusive: Fidelity to acquire eMoney Advisor in major adviser-tech deal

February 2, 2015

Fidelity Investments will acquire eMoney Advisor, a top financial-planning software manufacturer, in a move that could resonate as one of its most potent adviser-technology deals to date. Conshohocken, Pa.-based eMoney makes a popular software...

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