Results for "charles schwab"

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Secrets Behind Success: For RIAs, having the right talent requires diligence and investing in the future

August 21, 2018

Few business challenges are as persistently difficult as trying to bring the right people into an organization to achieve important goals. The talent challenge extends across industries, economic cycles, international boundaries – and eons...

HighTower on prowl for new CEO, Weissbluth to become chairman

August 20, 2018

Elliot Weissbluth is stepping down as CEO of HighTower Advisors and moving into the role of chairman as soon as the Chicago-based RIA consolidator hires a replacement. The leadership change comes less than a year after HighTower sold a majority...

What's in a name? For TCA by ETrade, everything

August 18, 2018

Has Trust Company of America hitched its wagon to a star or turned its back on loyal clients? It depends on whom you ask. Either way, the $275 million acquisition in April of TCA by discount broker ETrade has the custodian world buzzing. In...

Illinois governor proposes making Secure Choice retirement program optional for employers

August 16, 2018

Illinois Gov. Bruce Rauner issued an amendatory veto Tuesday making it optional for employers to participate in the state's Secure Choice program. There now are three possible actions. Legislators could approve the change, allow the technical...

Many of the best financial jobs for women aren't on Wall Street

August 10, 2018

Women who want to manage money seem to be having better luck doing it someplace other than Wall Street. U.S. firms with the highest share of female portfolio managers are located thousands of miles from Manhattan, according to new Morningstar...

Ed Butowsky plans to serve Schwab with $100 million lawsuit Monday

August 10, 2018

Now that financial adviser Ed Butowsky has put two major defamation lawsuits behind him, he is refocusing his efforts on suing Charles Schwab Corp. for kicking his advisory practice off its custodian platform in January. Mr. Butowsky, managing...

5 principles that set apart top-performing advisory firms

August 7, 2018

Independent advisory firms represent $5 trillion in assets under management, and the independent model continues to win considerable market share. According to Schwab Advisor Services' 2018 RIA Benchmarking Study, for firms with over $250 million...

Exonerated in defamation suits, Ed Butowsky is out for blood

August 6, 2018

The dismissal last week of two lawsuits against Plano, Texas-based financial adviser Ed Butowsky has not yet taken the form of a warm and fuzzy feeling. "Anybody who did anything negative to me as a result of the lawsuit will pay," Mr. Butowsky...

Vanguard exec: Investors should look for 'the catch' in Fidelity's no-fee funds

August 3, 2018

There's more than meets the eye when it comes to the free funds unveiled by Fidelity Investments this week, according to Vanguard Group chief investment officer Greg Davis. Vanguard's rival stoked the investing industry price war Wednesday by...

Fidelity's zero-fee funds unleash the power of free

August 2, 2018

Fidelity Investments fired a shot heard around the investing world Wednesday: It announced it would roll out two index mutual funds Friday that charge no fees. Both funds will track market cap-weighted Fidelity indexes. The Fidelity Zero Total...

Fidelity resets the fee-war bar with zero-expense index funds

August 1, 2018

Fidelity Investments has pushed the limit in the wealth management industry's fee wars by launching two index funds with expense ratios of zero. The $7 trillion asset manager's seemingly blatant effort to capture more market share also includes...

Invesco joins the do-it-yourself indexing trend

July 26, 2018

In the cut-throat world of exchange-traded funds, it pays to keep up with the Joneses. Invesco Ltd., the fourth-largest issuer in the U.S., is starting eight fixed-income ETFs backed by benchmarks designed by the firm, following the likes of...

TD Ameritrade latest brokerage refusing to lead in cutting ETF commissions

July 24, 2018

Commission-free ETF trading appears to be the trend that isn't going away, but TD Ameritrade is the latest company to acknowledge it will not lead in the race to the bottom. "We're not going to lead [on cutting commissions], but we need to prepare...

Commission-free ETFs will become the norm, Schwab CEO says

July 20, 2018

When it comes to trading fees for exchange-traded funds, investors and financial advisers should get used to paying less. While The Vanguard Group fired a hefty salvo in the ETF low-fee battle earlier this month, Walt Bettinger, president and...

Genstar Capital buys majority stake in Cetera Financial Group

July 17, 2018

Cetera Financial Group, a network of six independent broker-dealers with about 8,000 brokers and advisers, said Tuesday evening that private-equity firm Genstar Capital will buy a majority equity stake in the company. Cetera's holding company,...

Writing on the wall for direct-to-consumer robo startups

July 16, 2018

The consolidation of direct-to-consumer robo-advisers is in full swing. Hedgeable, an early digital adviser that stood out for targeting wealthier clients with active management, hedging strategies and access to alternative investments like...

Average client assets top $2 million for first time

July 12, 2018

The average client assets topped $2 million for the first time at independent advisory firms with over $250 million in AUM, according to Charles Schwab's latest RIA Benchmarking Study. That's the most per-client asset under management since...

What the fastest growing RIAs have in common

July 12, 2018

Business is booming for registered investment advisers. Regardless of firm size, independent firms are experiencing strong five-year compound annual growth in key metrics like assets under management, revenue and number of clients, according...

Adviser serves Hispanic clientèle in Puerto Rico and the mainland

July 7, 2018

The day after Hurricane Maria hit Puerto Rico, Eduardo J. Ramos returned to business as usual at Freedom Advisory, the registered investment advisory firm he started 10 years ago in San Juan. The firm is one of just a handful of independent...

Charles Schwab says it settled SEC suit on reporting failures

July 2, 2018

Charles Schwab Corp. said it settled a lawsuit with the Securities and Exchange Commission over claims that the company failed to file reports on suspicious transactions by independent investment advisers that Schwab terminated from its platform....

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