Results for "custodians"

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Fidelity unveils market analysis aimed at RIAs

November 15, 2009

In a move to attract and retain registered investment advisers and independent-broker-dealer clients, Fidelity Investments has introduced a program that it says offers financial advisers access to market analysis and industry insights. The online...

Fidelity rolls out investment program aimed at RIAs

November 11, 2009

Fidelity Investments, in a move to attract and retain registered investment advisers and independent-broker-dealer clients, has introduced a program it says offers advisers access to market analysis and industry insights. Insight & Outlook is...

Self-service account aggregation from CashEdge; Financial application for the Droid

November 6, 2009

Self-service account aggregation launched by CashEdge CashEdge Inc. is now making its AllData Advisor account aggregation service available to financial advisers via a self-service online subscription. Tom Roberts, senior vice president and...

RBC Wealth Management to absorb JPMorgan's RIA custodian

September 29, 2009

Royal Bank of Canada today said that it will buy, for an undisclosed sum, JPMorgan Chase & Co.'s servicing business for third-party registered investment advisers. RBC will rename the unit RBC Advisor Services, which will operate as part of...

TD Ameritrade: Advisory firms registered with the SEC should be required to do annual custody reviews

July 27, 2009

Compliance officers at investment advisory firms registered with the SEC should be required to conduct annual custody reviews and to certify those results, according to TD Ameritrade Institutional. The firm made that recommendation and others...

Pershing asks advisers to pay surcharges for more funds

June 14, 2009

Pershing LLC, the largest provider of back-office services and financing to small and independent broker-dealers, this month began charging shareholder servicing fees to brokers and financial advisers who buy certain mutual funds from its Fund...

Schwab executive says rivals will follow its lead on alternatives

May 3, 2009

The head of sales at The Charles Schwab Corp.'s adviser services unit expects its competitors to adopt the same restrictions it is putting on the custody of alternative assets, and urged clients to “interrogate” the companies on their “end-game...

Schwab webcast to address its revised alternatives plan

April 19, 2009

The Charles Schwab Corp. has scheduled a webcast Thursday to brief registered investment advisers on its revised plans to wind down custody of alternative investments. The largest custodian of RIA assets set off a firestorm of protest in February...

Schwab hit by slowing adviser assets

April 19, 2009

The Charles Schwab Corp. reported better-than-expected first-quarter earnings last week, but buried in the numbers were signs that the headlong growth of the independent-adviser community may be waning, according to some analysts. For at least...

Fidelity eyes fees for its adviser referral program

April 12, 2009

Fidelity Investments may lift the free ride it has been giving to registered investment advisers who participate in its client referral program. The Boston-based financial services giant is considering plans to begin charging fee-based advisers...

IAA calls for segregation of duties at advisory firms

March 10, 2009

Investment advisory firms should be able to hold custody of client assets so long as advisory functions are separated from custodial functions, according to the Investment Adviser Association. It’s a new stance for the IAA of Washington, which...

Fiserv snared in Madoff web

March 6, 2009

Tucked among the hedge funds and the famous names on Bernard Madoff's client roster is an unlikely group of about 800 people — strangers to one another, yet all listed at the same anonymous Denver address. Now, they are discovering a painful...

RIAs lash out at Schwab hedge fund decision

March 3, 2009

Saying that Charles Schwab’s recent decision to stop accepting custody of alternative investments has put them in “an untenable position,” a consortium of registered investment advisers told the firm’s top executives they are reluctantly...

Custodians' use urged at Madoff hearing

January 27, 2009

The push to require investment advisory firms to use independent custodians gained momentum today after members of the Senate Banking Committee and officials of the SEC endorsed the action at a hearing on the giant Ponzi scheme allegedly perpetrated...

Treasury selects BNY Mellon custodian

October 14, 2008

The Department of the Treasury has hired The Bank of New York Mellon Corp. to be the custodian that will implement its $700 billion economic-stimulus package. The Treasury Department said in a statement: "Work began immediately to help the department...

Moglia to step down as TD’s chief executive

May 16, 2008

Joe Moglia, credited by industry observers with guiding TD Ameritrade Holding Corp.’s explosive growth over the past seven years, will step down as chief executive in October. Mr. Moglia, 59, who has been in charge of the Omaha, Neb.-based...

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