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Financial Advisor November 2003	Advisor Emporium Lockwood Advisors Launches MDA And Wrap Program... S&P Improves Database... Investors Capital Expands... Income From Equipment Leases... etc.
Wall Street & Technology August 6, 2007 Melanie Rodier	Deliso Joins DTCC's Wealth Management Services Nicholas A. Deliso has joined The Depository Trust & Clearing Corp. as a senior relationship manager in the wealth management services area.
Wall Street & Technology October 26, 2005 Paul Allen	SMAs Still Lack Automation As the popularity of separately managed accounts grows, so do the processing and operational headaches for money managers.
Financial Advisor June 2009 Joel P. Bruckenstein	Stepping It Up Broker-dealers are enhancing the technology they offer to advisors.
Wall Street & Technology May 25, 2005 Paul Allen	Slow and Steady Though notable strides have been made toward straight-through processing in many areas of the transaction life cycle, when it comes to automating corporate actions, the progress is more akin to staggering into a headwind - slow and hard.
Financial Advisor November 2008	Advisor Emporium News and Products: Fee And Commission Platform Launches... IVA Creates New Funds... Fidelity Creates Charitable Pool... ICON Offers SMA Portfolios... NPH Offers Streamlined Advisor Platform... Guardian Adds Annuity Rider...
Wall Street & Technology June 18, 2007 Penny Crosman	Technology Upgrades Improve Derivatives Processing The DTCC, SwapsWire, major broker-dealers and custodians, such as State Street, all are upgrading their technology to bring derivatives processes into the 21st century.
Financial Advisor February 2004 Sydney LeBlanc	Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms.
Registered Rep. November 1, 2006 Kevin Burke	Money Managers Don't Get RIA Market A large number of money managers still haven't figured out how to tap the registered investment advisor market to sell their funds, according to research.
Wall Street & Technology September 22, 2007 Melanie Rodier	Omgeo Board Adds Michael Bodson Bodson, executive managing director for business management, strategy and marketing for The Depository Trust & Clearing Corp. has joined the Omgeo board of managers.
Financial Planning September 1, 2008 Callahan & Malo	Hybrid Chic A trend toward hybrids in the financial services industry is emerging. Increasingly, firms, advisors and brokers are establishing practices that manage both commission -- and fee-based businesses.
Financial Advisor March 2008 Joel Bruckenstein	Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers.
Bank Systems & Technology October 23, 2008 Peggy Bresnick Kendler	J.P. Morgan Signs on for DTCC's Loan/SERV to Automate Syndicated Loan Services J.P. Morgan has signed on for The Depository Trust & Clearing Corporation's Loan/SERV and will begin using the new suite of services to automate and streamline the processing of their syndicated commercial loans.
Financial Advisor November 2008 Bruce W. Fraser	Clearings Fairly Smooth Despite recent market turmoil -- spurred by the collapse of several storied financial institutions and plummeting stock values -- clearing venues for trades from financial advisors have been functioning fairly smoothly.
Financial Advisor August 2005	Advisor Emporium DTCC Forms Alternative Investment Advisory Committee... Waterhouse Issues Guide To Help Registered Reps Become RIAs... John Hancock Launches Succession Planning Sales Tool Kit... etc.
Wall Street & Technology February 19, 2008 Melanie Rodier	DTCC Streamlines Managed Accounts The Depository Trust & Clearing Corp. is launching the Managed Accounts Service, which provides an automated, centralized platform that will streamline communications among investment managers, sponsors and service providers.
Financial Advisor January 2006 Sydney LeBlanc	Embracing The F Word US Fiduciary offers a business model that is attracting ultra-high-end advisors who want to be fiduciaries.
Wall Street & Technology November 29, 2004 Ivy Schmerken	Learning How to Share Banc of America Securities has made major cost-cutting strides by creating a central hub to aggregate and validate reference data so a single source can feed front-, middle- and back-office applications.
Financial Advisor August 2, 2010	Advisor Emporium New Products: Fidelity Launches New Resource... Schwab Rolls Out Reporting Tool... Putnam Funds Top $2 Billion... New Investment Entity Created... MarketCounsel Creates Virtual Vault... Securities America Launches Tools...
Financial Advisor June 2005	Advisor Emporium National Financial To Introduce Managed Account Platform... 401(k) Provider Gives Advisors New Way To Serve Clients... Invesmart Announces Program For RIAs... New Software Version Released... etc.
On Wall Street November 1, 2010 Gallant & Schneider	Navigating The Retirement Business The demand for retirement income support will continue to grow rapidly in the coming years as the aging of the baby boom generation is inevitable.
Financial Planning January 1, 2013 Donald Jay Korn	Top Custodians: Battling for Custody Custodians try different strategies for growth as advisors break away to join RIA firms.
Financial Advisor November 2008 Gail Liberman	War Breaks Out For Wirehouse Brokers The economic crisis on Wall Street, among many other things, is causing wirehouse brokers to reconsider the value proposition offered by the giant financial service firms.
Financial Advisor September 2004 Dorothy Hinchcliff	Here Come The Big Boys Fidelity and Pershing are competing for advisors' trust business.
Financial Advisor July 2011 Bernie Clark	A Record Year For RIAs Discipline both on the expense and client care sides has created sound business practices for an evolving RIA industry.
Financial Advisor July 2011	Frontline News Advisors Using Fewer Asset Managers... The New CFPs... Avoid The Analyst Herd... etc.
Registered Rep. September 16, 2011 Jerry Gleeson	RIA Interest in Financial Planning Grows, Industry Data Suggests Financial planning activities are playing a growing role in the service offerings of registered investment advisors.
Financial Advisor December 2003 Sydney LeBlanc	Unified We Stand The latest sensation in managed accounts offers streamlined service.
Registered Rep. March 1, 2006 David A. Geracioti	To Increase Revenue Increase Time Spent With Clients Clients are happier when financial advisors pay close attention to them, and new research suggests that this can manifest itself in more business.
Financial Advisor September 2004 David L. Lawrence	Finding Profit In Written Policies And Procedures The exercise of writing the procedures for a financial practice can reveal ways to trim the process, refine your workflow systems and make things work better in a practice. Freeing up time and that of employee(s) can save money.
Financial Planning January 1, 2006 Bob Hirschfeld	The Long and Short of It ICON Long/Short Fund Manager J.C. Waller isolates sectors and industries that are underpriced relative to fair market value but show relative strength compared with the broad market.
Bank Systems & Technology October 22, 2008 Peggy Bresnick Kendler	DTCC, LCH.Clearnet Announce Plans to Merge and Create Single Clearing House The merger proposal aims to create the world's leading clearing house, and should result in significant synergies and efficiency gains.
Financial Advisor November 2009 Bruce W. Fraser	Shifting Landscape A shifting economic environment is also changing financial advisors' practice management world.
Financial Advisor March 2006	Frontline News AST Trust Purchases Capital Trust Co. Of Delaware... Intuit Poised To Release PortfolioMinder... Financial Advisor Plans Top RIA Ranking... Morningstar Workstation Available At TD Ameritrade... Rule Is `First Step'... etc.
Financial Advisor August 2012 Karen DeMasters	The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers.
Financial Planning October 2, 2007 Jack W. Callahan	Embrace Change Advisors have to adapt their practices to accommodate retiring clients.
Financial Advisor July 2012	Advisor Emporium First Allied launches Women's Impact Network... Fidelity starts Global Equity Income Funds... ProShares launches Covered Bond Fund...
Financial Advisor September 2004 Joel P. Bruckenstein	Portfolio Management Software: What is Next Fidelity and Integrated Decision Systems (IDS) expect to begin offering a comprehensive, highly sophisticated institutional portfolio management, reporting and order generation system platform for advisors before the end of this year.
Registered Rep. March 1, 2005 James Femia	Risky Business Corporate actions processing can be a risky business. And investors everywhere, including your clients, can end up paying for that risk.
Financial Planning October 1, 2010 James E. Warren Jr.	Beyond the Payout Eight critical points that every financial advisor contemplating a change of affiliation should consider.
Registered Rep. March 1, 2008 Christina Mucciolo	What Can We Do For You? Clearing firms matter to advisors. In fact, one of the biggest deals in the independent b/d business last year hinged on whether the b/ds being sold could maintain their relationships with their old clearing firm.
Investment Advisor April 2006 Maya Ivanova	Self Improvement In the recent supplement to the 2005 Rydex AdvisorBenchmarking Survey, many advisors recognize that simply maintaining the status quo is not enough. They're continuously examining their business plans and investment processes to look for improvements.
Financial Advisor July 2004 Tracey Longo	Clearing Firms Come Courting With clearing industry players so clearly targeting advisors, competition for advisor business is likely to get even more interesting very soon.
Financial Advisor January 2006 Sydney LeBlanc	Breaking The Mold The new SMA environment will allow advisors to demonstrate in a truly value-added fashion that they bring a great deal of expertise to the table from which clients can benefit.
Financial Advisor September 2005 Bruce W. Fraser	How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.
Financial Advisor July 2007 Tracey Longo	The Big Picture Clearing firms stake their future on helping financial advisors' businesses grow.
Financial Advisor March 2005 Tracey Longo	The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients.
Financial Planning September 1, 2007 Elizabeth O'Brien	Working Smarter The new Rydex benchmarking survey reveals the habits of highly successful advisors.
Investment Advisor March 2010	More Advisors Embrace Alternatives Advisors are increasingly turning to alternative investments, not as a source of outsized returns, but rather to provide true diversification to clients' portfolios.
Investment Advisor December 2005 Andrew Gluck	The Gluck Report, Part I: The Big Three's Tech Plans for 2006 New tech initiatives from the leading custodians have lots of features aimed at attracting and winning over RIAs without making them feel like they're losing their independence. We talk to the tech heads at Schwab, Fidelity, and TD Waterhouse.