Results for "custodians"

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Conflicting tax information creates 'nightmares' for some investors

May 6, 2019

Brokerage firms are sending tax statements to clients and the IRS with information that differs from the taxes investors ultimately owe, leading some filers to appear to owe tax on profits they never made. The federal tax code contains two sets...

TD Ameritrade cut marketing because 'fish weren't biting,' CEO says

April 24, 2019

TD Ameritrade Holding Corp. trimmed digital advertising spending because of a lack of interest from retail investors, according to chief executive Tim Hockey. The online broker and wealth manager keeps a base level of spending and needs to see...

Adviser fintech moving from the back office to client interactions

April 18, 2019

Adviser technology has historically focused on improving back-office efficiency. That is starting to change. Adviser fintech is increasingly focused on making experiences better for clients, said Dani Fava, director of institutional innovation...

RIAs needn't fear the large custodians

April 12, 2019

Editor's note: This story was amended after it was brought to our attention that Ms. Crowther has represented Charles Schwab. As competition continues for financial advisory clients, there may be a tendency for registered investment advisory...

Client onboarding presents a critical first impression

March 25, 2019

In the financial planning industry there are lots of ways to recruit new clients, but what comes next can make or break a satisfying and lasting relationship. Whether the client is leaving another adviser or working with an adviser for the first...

Custodians no longer at the center of RIA technology hubs

March 1, 2019

The relationship between custodians, registered investment advisers and technology vendors is evolving. RIAs today are demanding deeper and more robust data on clients so they can provide new services like financial planning, but these advisers...

Now, not later: RIA custody confusion must be acknowledged by the SEC

February 23, 2019

Nothing gets the attention of registered investment advisers quite like the concept of custody status. For good reason, the Securities and Exchange Commission ramped up its focus on RIAs that have custody of client assets in response to the...

Christina Townsend of Pershing shares vision for RIA technology

February 12, 2019

BNY Mellon's Pershing is changing the way it works with registered investment advisers. In the second year of a $50 million investment towards its RIA custody business, the firm is focusing on human talent and providing "adviser-led experiences."...

Custody status continues to perplex RIAs

February 11, 2019

A full decade after the financial crisis led to changes in custody rules for financial advisers, the financial planning industry is still pressing regulators for more clarity regarding custody status for RIAs. "We have strongly advocated for...

TD won't compete with RIAs, execs say

February 8, 2019

When TD Ameritrade rolled out its top-level executives Thursday at its annual LINC conference in San Diego, they wasted no time in underscoring the big custodian's commitment to registered investment advisers. "We believe RIAs are the best solution...

Wells Fargo RIA channel partners with TradePMR

January 29, 2019

Wells Fargo Advisors is souping up it's new channel for registered investment advisers by leveraging the technology expertise of second-tier custodian TradePMR. Wells Fargo's fledgling RIA business model became official earlier this month when...

ETrade launches national adviser referral network

December 18, 2018

ETrade Financial Corp. has launched a national adviser referral network to enhance its financial adviser custodial business. The ETrade Advisor Network, which was cited as a driving force behind the custodial relationship ETrade announced last...

TD Veo platform one step closer to fully digital account opening

December 17, 2018

The latest update to TD Ameritrade Institutional's VEO One technology platform brings the custodian one step closer to offering financial advisers a fully digital and automatic account opening process. New integrations with customer relationship...

TCA by E*Trade lures Edelman Financial Engines with promise of client referrals

November 13, 2018

TCA by E*Trade is claiming to have hit the jackpot with its pending adviser referral program attracting Edelman Financial Engines, one of the nation's largest RIAs. While both the $20 billion custodian and the $200 billion advisory behemoth...

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...

Schwab makes greater effort to help smaller RIAs

October 26, 2018

Schwab Advisor Services ran the numbers and realized smaller advisory firms can represent a bountiful future for the $1.3 trillion custody business. With that in mind the nation's largest custodian has been ramping up its new Center of Excellence...

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...

TD limits number of advisers invited to conference — and not everybody likes it

October 10, 2018

Advisers with less than $75 million in assets under management are not being invited to attend TD Ameritrade Institutional's National LINC conference in February — and it's rubbing some of the custodian's RIA clients the wrong way. TD usually...

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...

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