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Independent broker-dealers suffer worst year since credit crisis

April 25, 2016

For the independent broker-dealer industry, 2015 was the worst year in the last six, and 2016 promises to be just as difficult — if not more so. “If 2015 was bad, 2016 is worse,” said Joel Marks, the former chairman of independent broker-dealers...

New academic research challenges the honesty of financial advisers

March 2, 2016

Business school profs are taking it to the financial advice industry with a new paper charging economy-wide misconduct. “It's everywhere, not just small firms. It's pervasive.” Bill Gross is fighting to keep his case against Pimco from being...

Pershing names Hardwick COO as Dolly steps into CEO role

February 10, 2016

Pershing has named Lori Hardwick chief operating officer of the Bank of New York Mellon Corp.-owned brokerage and custody services business. Ms. Hardwick is joining Pershing from Envestnet Inc., a wealth management technology company, and will...

Top 10 hottest trends in the IBD industry

January 22, 2016

Advisers and their independent broker-dealers saw movement last year in regulation, investment products, business strategies, retirement vehicles and more. Here are 10 of the hottest topics, which are sure to continue to evolve as the year unfolds.

Biggest billion-dollar adviser moves since 2011

January 22, 2016

Over the past five years, big adviser moves have picked up steam. These interactive graphics offer more details on the biggest moves since 2011. Hover your cursor over the names of the firms for details on where advisers moved from, as well...

How to avoid becoming a tax scam victim

November 20, 2015

After the IRS' big data breach, you might want to file this under 'do as I say, not as I do.' But give the agency credit for trying. The IRS' 7 steps to avoid becoming a tax-scam victim. Does the strong debut for mobile payments company Square...

Fidelity, Schwab to halt AR Capital sales

November 19, 2015

A major clearing firm, Fidelity Clearing & Custody, and a leading custodian for registered investment advisers, Charles Schwab & Co. Inc., have halted or will halt by the end of the week sales of AR Capital products. Nicholas Schorsch's AR Capital's...

TD Ameritrade launches website to spur adviser advocacy

October 6, 2015

A leading custodian is trying to get advisers on its platform — and others in the industry — more involved in lobbying Congress on behalf of registered investment advisers. On Tuesday, TD Ameritrade Institutional launched a website designed...

TD Ameritrade weighs charging fund companies on its commission-free ETF platform

September 25, 2015

TD Ameritrade Inc. is weighing major changes to its commission-free ETF platform, including the possibility of levying fees on asset managers, an executive for the investment platform said Friday. Matthew Judge, director of wealth management...

American Funds making inroads with fee-based advisers

September 16, 2015

American Funds, once the top-selling mutual fund company, was built on the back of devoted financial advisers, many of whom earned a commission for selling its funds. But today, fee-based financial advisers and retirement plans drive most of...

Eaton Vance's NextShares gets its first custodian on board

September 8, 2015

NextShares, the new fund structure from Eaton Vance Corp. designed to reduce the costs of active management, has won its first broker-dealer partner. Two investing platforms managed by Foliofn Investments Inc. will offer the funds to financial...

Custodians and clearing firms ranked by number of clients

August 9, 2015

Custodians ranked by number of RIA custody clients Firm Website Head of RIA custody business 2015 # of clients % change vs. 2014 Assets under custody ($M) % change vs. 2014 Minimum assets of advisers Schwab Advisor Services http://www.advisorservices.schwab.com...

Custodians try to entice breakaways with substantial perks

August 9, 2015

As larger teams move into the registered investment adviser channel, the major custodians are getting more creative and adding some sweeteners to entice big breakaway outfits. Looking to differentiate themselves by more than just their ability...

Advisers' deaths without transition plans force custodians into action

August 9, 2015

When investment advisers who are sole proprietors die unexpectedly without a continuity plan in place, the firms where they house client assets react rapidly. “Custodians are increasingly adept and swift at taking action,” said Brian Hamburger,...

Is it time to jump into energy stocks?

August 4, 2015

If 13 weeks of falling energy-stock prices has you looking for an entry point, hold your fire. By most measures, the energy sector is still expensive As Curian Capital prepares to close up shop, competitors are swooping in to recruit advisers...

SEC appeals own judge's decision in case on custodians' payments to advisers for fund picks

June 29, 2015

The Securities and Exchange Commission is fighting a decision by an in-house agency judge to dismiss charges accusing two financial advisers of not informing clients they were paid by Fidelity Investments to sell certain mutual funds. In a filing...

Automated advisers attract much smaller clients than humans: Morningstar

June 25, 2015

Robo-advisers may not be able to compete with humans after all — at least when it comes to attracting clients with a greater amount of investible assets. Largely automated online financial advice platforms are able to bring in clients with...

Breaking down the best robos for your practice

June 25, 2015

There's a lot to consider when managing a financial advisory practice, but one of the more ever-present components of the business these days is whether to offer an automated online investment platform. Robo-proofing a practice is one of the...

Schwab launches adviser-facing robo service

June 23, 2015

Charles Schwab & Co. launched a second version of its automated investment service on Tuesday, this time a robo platform for advisers to implement within their own practices. It's been less than four months since the custodian debuted Schwab...

RIAs join brokers in promoting securities-backed lending

June 11, 2015

Traditionally a major focus at bank-owned brokerage firms, securities-backed loans — where a wealthy investor puts up their portfolio as collateral for a big-money purchase — are increasingly being marketed through independent registered...

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