Results for "charles schwab"

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Independent Perspective: Why Megan Gorman Chose Independence

November 19, 2018

The decision to go independent as a Registered Investment Advisor (RIA) is not one an advisor makes lightly. In a three-part series over the next several weeks, InvestmentNews Content Strategy Studio will explore the thinking — and emotions...

Fintech one of few areas willing to give women a break

November 17, 2018

Financial services has long been an industry dominated by men, but Wall Street is hardly alone when it comes to gender inequality. Silicon Valley is also overwhelmingly male. Though programmers were predominantly women when computers were first...

RIAs that invest in training and development can win more and build their brands

November 14, 2018

As a fan of the Boston Red Sox (sorry, local NY/NJ Yankee and Mets fans!), I was quite impressed with their steady march to the World Series title this year. Impressed, but not surprised because, as Mr. Kennedy notes above, the Red Sox have...

Quick change in plans has Bob Oros headed to HighTower

November 14, 2018

Two weeks ago, it was announced that Bob Oros was leaving HD Vest Financial Services after less than two years as its CEO. The company seemed OK with the decision and pleased that he was going to stay on until March as a consultant. How quickly...

InvestmentNews turns 20: A young industry evolves, as does our coverage

November 10, 2018

The 20 years since InvestmentNews launched in 1998 have involved tremendous change in and around the financial advice industry. Here are 20 events that rocked advisers and their clients — many of which will continue to shape the profession...

11 ways advisers are using ETFs and mutual funds

November 6, 2018

A Charles Schwab Investment Management study of investment trends among financial advisers shows a growing preference for the ease of packaged portfolios such as exchange-traded funds and mutual funds, with ETFs gaining ground. The report, “At...

New Schwab adviser technology chief Andrew Salesky brings veteran pressure to his team

November 3, 2018

If Andrew Salesky, head of adviser technology at Charles Schwab, is in the hot seat, he's not showing it. The Schwab veteran, who took up his latest post in June, possesses an unexpected calm as he talks about Schwab's efforts to convince its...

Schwab reassures RIAs its brokerage advertising won't take business away from them

October 29, 2018

Charles Schwab Corp. chief executive Walt Bettinger tried to reassure registered investment advisers who custody their assets with the firm that its advertising push for brokerage clients isn't taking business away from them. During the opening...

Here's how the 401(k) world will evolve over the next three years

October 23, 2018

The financial services industry moves at a snail's pace, set up to resist change and repel outsiders. The last major disruptors were Charles Schwab and Vanguard Group's John Bogle, both very old men now. But the 401(k) world is about to change...

LPL rolls back recruiting policy aimed at driving more assets to its corporate RIA

October 22, 2018

LPL Financial is backing away from a contentious policy it created last year with the intent of driving more assets to its corporate RIA platform. Rolled out in August 2017, the policy required new advisers joining LPL to have at least $50 million...

Cheap is great; free will usually cost you

October 17, 2018

There is a basic, fundamental foundation upon which all of economics is built: Everything has a cost. The effort to get around this concept is described informally by the phrase "there's no free lunch." What is a free lunch? The notion historically...

Making younger clients a top priority — but not the only priority

October 15, 2018

When it comes to serving younger clients, financial advisory firms tend either to dabble in it with whatever leftover resources they have or take a whole-hog approach through something like the XY Planning Network. But that wasn't going to cut...

Cetera purges board after being bought by Genstar Capital

October 11, 2018

Cetera Financial Group said on Thursday morning that it had overhauled its board of directors, with its new board reflecting the recent sale of the large brokerage network to Genstar Capital for $1.7 billion. Gone are Bob Dineen, the former...

Robinhood launches self-built custody and clearing service

October 10, 2018

Online brokerage Robinhood is launching its own custody and clearing system. The move helps the fintech startup, best known for offering zero-fee trading via a mobile app, cut costs in the likely run-up to an initial public offering. It's also...

RIA revenue growth on the rise, but smart firms are prepared for it all

October 10, 2018

If this year's Adviser Benchmarking Study had a tagline, it would be “the best defense is a good offense.” The InvestmentNews 2018 Pricing & Profitability Study, sponsored by BNY Mellon's Pershing, paints a positive picture for the advisory...

A human touch in a digital world

October 6, 2018

As a senior financial planner for Betterment, Nick Holeman, 27, is one of hundreds of financial advisers working with thousands of clients in a novel way — as a complement to a robo-adviser. But his financial advice career began in the most...

Marie Chandoha, head of Charles Schwab Investment Management, to retire

October 4, 2018

Marie Chandoha, the president and CEO of Charles Schwab Investment Managements since 2010, will retire at the end of March. She is being replaced by Jonathan de St. Paer, currently senior vice president of business strategy and product management...

Super-rich are piling up wealth in black-box charities

October 3, 2018

It's all the rage in charitable giving — and it's actually got some charities worried. Donor-advised funds — money that grows tax-free in individual accounts — are reshaping the landscape of U.S. philanthropy. After creating their account,...

Talking to Chuck about Schwab's $3.6 trillion edge on fintechs

October 2, 2018

Charles Schwab's cheeks redden in a mixture of amusement and outrage as he recites the ways people on Wall Street make money. They take little nicks, he says, gesticulating with his left hand as if gripping a kitchen knife. High fees, fat spreads,...

Finra will consolidate examination, risk-monitoring programs

October 1, 2018

Finra will consolidate its examination and risk-monitoring programs in an effort to make oversight of its member firms more efficient and effective, the regulator announced Monday. The Financial Industry Regulatory Authority Inc. said in a statement...

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