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Rival Fidelity shows up uninvited at Schwab Impact

November 7, 2014

As a record turnout of investment advisers gathered for Charles Schwab & Co.'s annual Impact conference in Denver, Colo., an uninvited guest lurked outside the gates. + Zoom Schwab rival Fidelity Investments couldn't stay away from this week's...

5 ways advisers can learn from billion-dollar RIAs - Billion-dollar RIAs' lessons for advisers

November 7, 2014

54% of financial assets are held at firms that have amassed at least $1 billion from clients, up from 42% only six years ago, according to Cerulli Associates. Advisers striving to be among this group of successful firms can learn from these...

Schwab sues ex-advisers, RIA over “conspiracy”

November 3, 2014

Charles Schwab & Co. Inc. is continuing to fight back against former brokers who leave its ranks. In one of its most recent actions, the firm filed suit last month against a Tampa, Fla.-based registered investment adviser, Camelot Wealth Management....

Pershing playing catch-up with competitors as custodian considers offering commission-free ETFs

October 30, 2014

Access to commission-free trading of ETFs will expand in the coming months with the arrival of Raymond James Financial Inc. and the possibility that Pershing also might join the increasingly popular movement. A top Pershing executive said Wednesday...

Pershing “actively” considers launching commission-free ETF platform

October 29, 2014

A top Pershing executive said Wednesday the firm is considering a commission-free trading platform for exchange-traded funds. “We're actively looking at that as a further potential solution, evaluating many things including the economics of...

TD Ameritrade's Veo dashboard gets boost from big data

October 28, 2014

TD Ameritrade is making a more personalized technology pitch to advisers. The firm's top executives said Tuesday that they plan to roll out within the next few months a new system that filters information from third-party software — from CRM...

How should custodian technology influence you?

October 27, 2014

Advisers are required to perform due diligence when choosing or retaining a custodian for their clients' accounts. In compliance terms, this is called "best execution." Best execution requires analysis of more than just how a custodian executes...

Charles Schwab to launch free 'robo'-adviser next quarter

October 27, 2014

Launching its own online advice platform, Charles Schwab & Co. Inc. is aiming to make low-cost, web-based advice even cheaper in the latest development in the quickly evolving business, but some industry watchers say it could rankle advisers...

Schwab signs Morningstar to provide equity research, ratings

October 23, 2014

Financial advisers who hold client assets in custody with Charles Schwab Corp. will be gaining access to global equity analyst reports and ratings for about 1,400 companies through a licensing agreement with Morningstar Inc. Schwab represents...

Custodians jump into the robo game

October 20, 2014

Custodians, those longtime third-party guardians of customer securities, are launching new products that give traditional registered investment advisers the technology to compete against so-called robo-advisers. In August, custodian Folio Institutional...

New Fidelity CEO Abigail Johnson wants to be 'accessible to advisers'

October 15, 2014

Advisers who use the custodian platform of Fidelity Investments say they're unperturbed by the ascension of Abigail Johnson to the position of Fidelity Investments' chief executive — because they view the new CEO as one of their own. “She's...

Scottrade retools custodial platform as it works to bolster its numbers

October 2, 2014

Scottrade Advisor Services, which has struggled with dwindling numbers of advisers on its platform, is working to stop the bleeding by attracting new RIAs, upgrading its technology and improving the experience for its existing advisers. While...

The big squeeze: End of the golden era

September 12, 2014

For most of our professional lives, independent advisers have been able to build their businesses by competing against scattered local competition from brokers working at one of the big brokerage firms and the other independent advisers in their...

RCAP to continue clearing with Pershing

September 9, 2014

RCS Capital Corp. and clearing giant Pershing have reached an agreement in which Pershing will remain the main clearing firm for RCAP's growing network of independent broker-dealers. During an investor conference on Monday, RCAP chief operating...

Advisers rebuilt investors' faith

August 10, 2014

The Charles Schwab Corp. had a few challenging years following the financial crisis. But a focus on the RIA business has paid off as the firm's RIA custody unit crossed $1 trillion in assets last fall. As competition heats up among custodians,...

TD Ameritrade swims upmarket

August 10, 2014

United Capital's chief executive, Joe Duran, admits that three years ago, he would not have considered putting any of his millionaire clients' money with TD Ameritrade Institutional. But his firm, which has around $10 billion in assets under...

Schwab adding Morningstar Office to its RIA platform

July 22, 2014

The Charles Schwab Corp. has reached a deal to add Morningstar Office practice and portfolio management system, which includes customer relationship management tools, to its technology platform for RIAs. Morningstar Office and Schwab's OpenView...

Merrill Lynch team with $592M in assets moves to LPL

July 17, 2014

A team of six Merrill Lynch Wealth Management financial advisers, now known as IHT Wealth Management, has joined LPL's broker-dealer and hybrid RIA platform in downtown Chicago. The six advisers — Steven Dudash, Alex Papadopoulos, Orlando...

Republicans reject SEC user-fee amendment to appropriations bill

July 15, 2014

House Republicans shot down an attempt by Rep. Maxine Waters, D-Calif., to amend a spending bill with legislation designed to increase the number of investment-adviser exams the Securities and Exchange Commission performs. In debate on Monday...

Pershing affiliate Albridge in major update to wealth reporting platform

June 5, 2014

Pershing affiliate Albridge announced Thursday it has significantly changed its wealth reporting platform with improvements to reporting, analytics and workflow based on extensive conversations and testing with broker-dealers and advisers. The...

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