Results for "custodians"

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The importance of looking at new fee models

March 17, 2018

When your business model is designed around collecting a fee pegged to assets under management, the ebbs and flows of the financial markets can be nerve-wracking. For small advisory firms, which don't have a lot of room to cut overhead when...

What the next market downturn means for small RIAs

March 17, 2018

Investors aren't the only ones who will have something to worry about if the stock market heads for a major correction. As volatility steadily ticks higher, owners of small financial advisory firms might start to feel as if the walls are closing...

Digital investing will bring big changes in 2018

December 14, 2017

If we learned nothing else about the financial advisory business in 2017, we know that the digital revolution is just getting started. Brokers and advisers are facing increasing pressure to be more transparent and reduce fees. Complex regulations...

Blockchain will change the advisory business—someday

December 5, 2017

With the price of bitcoin continuing to soar, advisers find themselves inundated with questions about digital currencies and blockchain, the ledger technology that makes bitcoin possible. Those questions are bound to increase now that the Vanguard...

Fidelity's eMoney Advisor partners with Schwab

November 15, 2017

Financial planning technology firm eMoney Advisor plans to integrate with Schwab Advisor Services' OpenView Gateway, eMoney announced today at the annual Charles Schwab IMPACT conference in Chicago. The move is interesting given the competitive...

E*Trade gains a foothold in the RIA space, but it is going up against bigger competitors

October 20, 2017

E*Trade Financial Corp.'s acquisition of Trust Company of America is seen as a solid endorsement of the strength and profitability of the financial advisory business. The $275 million deal to buy the $17 billion-asset Denver-based custodian,...

E*Trade acquiring custodian Trust Company of America

October 19, 2017

E*Trade said Thursday it is buying Trust Company of America for $275 million in cash. Josh Pace, president and chief executive of Trust Company of America, said in a letter to the firm's investment-adviser clients that the transaction will close...

Raymond James lands $5B custody and clearing client

October 11, 2017

Raymond James announced today that Capitol Securities Management will switch to its custody and clearing platform, from Pershing, taking $5 billion in assets managed, administered or advised by the firm. The move will take place in the spring...

Durbin gets promoted again, this time to lead Fidelity Institutional

October 3, 2017

Less than 10 months after taking over as head of Fidelity Institutional's product and platform technology group, Michael Durbin is moving up the ladder once again to take his boss' job, as head of Fidelity Institutional, where he will be responsible...

With TD Ameritrade about to acquire Scottrade, Tom Bradley is out

September 8, 2017

With TD Ameritrade Holding Corp.'s acquisition of Scottrade Financial Services Inc. almost done, there was no room left in senior management for Tom Bradley, TD's current head of retail but an executive widely recognized as one of the main leaders...

Average age of advisers is falling — and so is their pay

August 9, 2017

Financial advisers are finally getting a little younger, but many are earning less, too, according to a new survey of advisers. The median age of a financial adviser has dropped to 47 from 50 just two years ago, the TD Ameritrade Institutional...

Custodians are charting fintech's future

August 7, 2017

The nation's largest custodians are racing to align with — and in some cases, buy — the strongest fintech available, as each of the major players seeks to win over advisers by providing the ultimate technology platform. "One of the biggest...

Top clearing and custody firms for financial advisers

August 7, 2017

CLEARING FIRMS Listed by reported number of broker-dealer clients Firm Phone/website # of clients % change vs. 2016 Contact Phone/email Pershing (800) 445-4467 714* -3.90% Michael Row (800) 445-4467 One Pershing Plaza, Jersey City, NJ 07399...

Scottrade advisers test custodial waters

August 7, 2017

As TD Ameritrade Holding Corp. closes in on its September acquisition of Scottrade Financial Services, some competitor custodians have been quietly watching, waiting and rolling out the red carpet to Scottrade advisers who might choose to leave...

TD Ameritrade adds video performance reports for robo-advice clients

June 28, 2017

Clients of TD Ameritrade's robo-advisers have received personalized video statements of their first-quarter performance, as the custodian begins introducing enhancements aimed at helping it compete for assets against other top digital-advice...

Once dominant, bank custodians still hold a coveted slice of RIA market

May 9, 2017

For most financial advisers, deciding where to custody client assets is all about the big four brand name conglomerates represented by Fidelity, Schwab, TD Ameritrade and Pershing, which control more than $2 trillion in assets. But 30 years...

TD Ameritrade and Fidelity tweak RIA referral fees ahead of DOL fiduciary rule

April 21, 2017

Client-referral programs at the major custodian firms are being quietly revised in preparation for the Department of Labor's looming fiduciary rule, but some industry analysts still question whether the changes will be enough to pass muster...

Fidelity's David Canter makes financial advice his Boston Marathon cause

March 20, 2017

David Canter, the newly appointed head of the RIA segment at Fidelity Custody & Clearing Solutions, will be running next month's Boston Marathon with the financial planning industry top of mind. Mr. Canter, 48, has named the CFP Board's Center...

Fidelity puts David Canter in charge of RIA segment

March 6, 2017

David Canter has been appointed head of the RIA segment at Fidelity Clearing & Custody Solutions, succeeding Bob Oros, who left the company in January to take over as CEO of HD Vest Financial Services Inc. Mr. Canter, 48, joined Fidelity in...

It's up to advisers to know their custodial status

February 17, 2017

As somebody once said, it's the little things in life that get you; you can sit on a mountain but you can't sit on a pin. For financial advisers, one of those little things could take the form of a password or username for a client's online...

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