Results for "custodians"

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Pershing's incoming CEO sees opportunity in high-demand advisory services

June 12, 2019

Pershing's incoming chief executive said Wednesday the custodian is focused on taking advantage of the increasing market for investment advice and helping advisers on its platform expand their businesses with faster technology and richer data....

Reg BI won't stop advisory sector advances over broker-dealers, Pershing's Tibergien says

June 13, 2019

Growth in the investment advisory sector will continue at a rapid pace despite the Securities and Exchange Commission's regulatory changes that are supposed to close the gap in the standard of care between investment advisers and brokers, according...

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...

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...

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...

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...

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...

Price war heats up as Schwab lowers online commission on stock and ETFs

January 10, 2010

The Charles Schwab Corp. — in a bid to attract more trades from customers who use deep-discount brokerages — plans to lower its commission on all online stock and non-proprietary ETF transactions to $8.95 per trade. The reduced commission...

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...

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...

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...

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...

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...

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."...

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...

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...

The Starr treatment: How celeb adviser allegedly got away with it

May 28, 2010

The alleged $30 million fraud committed by Kenneth Starr and his Starr Investment Advisors LLP constitutes another black eye for the financial advice business. Indeed, the much-publicized scandal has investors once again wondering how high-profile...

Georgis returns to the fold, rejoins Schwab

March 2, 2010

J. Nicholas Georgis is returning to Schwab Advisor Services as vice president for strategic business. Among other things, Mr. Georgis will be responsible for relationships with independent broker-dealers and RIA consolidators, turnkey asset...

Practice management services seen as best way custodians can win RIAs

January 3, 2010

Broker-dealers that hold client assets for registered investment advisers are pointing their marketing and technology arrows at practice management. Helping advisers manage costs, segment clients by profitability and maintain operational rigor...

State Street to buy Italian bank's securities services biz for $1.87B

December 22, 2009

State Street Corp. said Tuesday that it will buy the securities services business of Italian banking group Intesa Sanpaolo for about $1.87 billion in cash. The financial services provider said the acquisition will broaden its presence overseas,...

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