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Financial Planning June 1, 2006 Elizabeth O'Brien	Dueling Platforms As the major custodians enhance their technology offerings for registered investment advisers, they're all seeking a competitive edge.
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.
Financial Planning April 1, 2005 Kristen French	The Referral Challenge TD Waterhouse is betting that a referral program modeled on Schwab's highly successful system will help it hold on to high-net-worth clients.
Financial Advisor January 2004 Dorothy Hinchcliff	Custodians Are Knocking More custody players have been clamoring for the business of registered investment advisors, and that trend will continue this year, say two well-known research firms for financial institutions and investment managers.
Registered Rep. April 1, 2007 John Churchill	Can Schwab's RIA Empire be Toppled? Last year the online-broker-turned-advice-provider extended an already massive lead over rivals Fidelity and TD Ameritrade in RIA asset gathering. Is there no challenger to Schwab's throne?
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.
Financial Advisor August 2005 Raymond Fazzi	The Logic Of Multiple Custodians As custodians serving the independent advisor market come and go, and merge and consolidate, many advisors are having a harder time finding a stable home for their clients' assets. In many cases, they're finding that using multiple custodians gets the job done efficiently.
Registered Rep. June 1, 2005 Kristen French	Fido Attacks! Long a distant second to Charles Schwab in the lucrative business of serving financial advisors, Fidelity is making an aggressive push to close that gap. And some advisors are taking notice.
Investment Advisor July 2007 Green & Keane	TD Ameritrade to Acquire Fiserv's Advisor Unit Under the complicated deal that will break up Fiserv ISS, TD Ameritrade will pay $225 million in cash for the operation.
Registered Rep. July 29, 2013 Diana Britton	No Man Is an Island Independent broker/dealers are dressing up their offerings to attract and retain advisors tempted to start their own RIAs.
Financial Planning June 1, 2008 Elizabeth O'Brien	Set Me Free LPL Financial staked a bigger claim on the independent advisor market last month with the announcement that the broker-dealer will allow its advisors to do business under their own RIA.
Financial Planning November 1, 2007 Elizabeth O'Brien	A Visionary Move An interview with Mark Tibergien, a well-known and respected consultant at Moss Adams, as he takes the helm at Pershing Advisor Solutions.
Financial Advisor February 2004 Sydney LeBlanc	Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms.
Financial Planning December 1, 2008 Brooke Southall	RIA Power Registered investment advisory firms are bringing in more assets these days than are wirehouse brokerage firms.
Financial Planning August 1, 2005 Bob Hirschfeld	TD Ameritrade's Good Deal The merger of the two online broker-dealers will transform the new firm into a top contender.
Financial Advisor November 2005 Tracey Longo	All For Advisors Brokerage executives are doing their best to deliver the tools advisors need to move their business to the next level, while still remaining efficient. That includes streamlined technology, investment and rebalancing selections, outsourcing, practice management and business development assistance.
Financial Planning September 1, 2011 Donna Mitchell	Happy Mediums Online brokerage giants are taking market share from almost every segment of the financial advisory business - except for RIAs.
Registered Rep. March 2, 2015 Diana Britton	Crowded Out Some level of competition between advisors and custodians has been around for years. Still, some advisors feel recent events make the distinction between business partner and market competitor less clear.
Registered Rep. October 15, 2009 Christina Mucciolo	Schwab Q3 Earning Down, But the Race For RIA Assets Is Hot Charles Schwab reported a 34 percent drop in its third quarter earnings, the firm's third consecutive quarter of slowing earnings this year.
Financial Advisor May 2007 Eric Rasmussen	What's New At The Custodian Custodians are continuing to offer new services for fee-only planners in their efforts to woo RIAs.
Financial Advisor August 2006 Raymond Fazzi	Custodians Duel Over New Services Competition in the fee-based advisory field and the pressure to grow assets and operations is not only forcing changes upon advisors, but also the custodians who serve them.
Financial Advisor August 2004 Raymond Fazzi	Custodians Filling Different Niches Many advisors find just one custodian isn't enough.
Financial Advisor November 2007 David J. Drucker	In The Land Of Giants If a smaller custodian comes along that can successfully execute a platform of services advisors can't get from Schwab, Fidelity or TD Ameritrade, it's going to find a place with advisors.
BusinessWeek April 18, 2005 Aaron Pressman	The Busiest Broker On Earth Fidelity's Internet operation has turned up the pressure on Schwab and other rivals.
Financial Advisor May 2004 Raymond Fazzi	Niche Players Provide More Choices For Advisors Many are trying hard to differentiate themselves---and are succeeding.
Registered Rep. May 5, 2008	LPL Financial Heats Up The RIA World The largest independent broker/dealer in the U.S. announced today it's going to launch an RIA custodian later this year, which will serve both hybrid and fee-only investment advisors who operate independent RIAs.
Financial Planning July 1, 2005 Tom Philpott	Move Over, Advent Think killing off Techfi spelled the end of competition in the adviser-software market? Think again.
Investment Advisor March 2010 Robert F. Keane	Changes at the Top for RIA Units at Fidelity and Schwab At a time when growth in the RIA channel has been robust to say the least, the two largest custodians have announced executive changes and restructuring of their units serving RIAs.
Financial Advisor February 2008 Joel Bruckenstein	Custodians Beef It Up Since advisors' work flows are often intertwined with custodian-supplied technologies, let's take a look at what the custodial firms have in store for 2008.
Investment Advisor January 2009 James J. Green	Schwab Reorganizes; Fidelity Hires; Pershing Provides The three major custodians of RIA assets announce big executive changes and a new practice management program.
Financial Planning March 1, 2010 Donna Mitchell	Open Season NFP Securities says it will become the first independent broker-dealer to offer hybrid advisors a single platform with complete open architecture, empowering advisors to ally with any major custodian they choose.
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.
Investment Advisor January 2006 Andrew Gluck	The Gluck Report, Part I: Watch This One Start-up Trust Company of America is challenging the big custodians and is going after a very specific segment of the RIA business. The company has also just unveiled a technology platform the rivals Schwab, Fidelity and Waterhouse.
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.
Investment Advisor May 2008 Kathleen M. McBride	What Lurks Beneath There are many registered independent advisors and broker/dealers for whom the Bear Stearns debacle is much more than an academic exercise.
Registered Rep. February 2, 2010 Kristen French	Fidelity Makes Trade Pricing Uniform For RIA And Retail Clients Fidelity's RIA custody division, Institutional Wealth Services, said it was cutting fees for U.S. equity and options trades. It also began offering commission-free online trades for its iShares ETFs and Fidelity Nasdaq Composite Index Tracking Fund.
Registered Rep. March 1, 2008	A Matter Of Trust What are the biggest hurdles that clearing and custody firms will face in the coming year?... Why did LPL go self-clearing, and will other b/ds follow?...
Registered Rep. September 10, 2009 David A. Geracioti	Fido's RIA Unit Cuts Fees The average financial advisor has taken a big hit in production and therefore net income. But RIA custodians are turning that into something of a marketing tool.
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 Planning September 1, 2009 Donna Mitchell	Roame on RIAs Conversations about change in the registered investment advisory space are constant these days, thanks to volatile markets, new products and demographic shifts. What sort of future will these changes create for the industry?
Investment Advisor March 2006 James J. Green	Editor's Note: The Limits of Independence Why the independent advisory business is such a wonderful one to be in, and yet such a frustrating one, too.
Financial Advisor May 2011 Drucker & Davis	Lean On Me Custodians have ramped up the services they offer to registered investment advisors.
Registered Rep. November 18, 2008 Brooke Southall	Schwab Re-Org Combines RIAs With Retirement Biz Schwab Institutional had an awesome year in 2008, but it isn't resting on it's laurels. Schwab is reorganizing, removing a well-respected executive, and combining the RIA unit with the retirement and corporate services unit.
Registered Rep. July 16, 2009 Halah Touryalai	Schwab Profits Down for Q2 But Keeps Adding Breakaway Brokers Charles Schwab reported that its second quarter profit fell 31 percent, thanks to low interest rates and soft capital markets, but in the meantime the company has added 74 breakaway advisors to its RIA platform.
Investment Advisor November 2007 Lauren Barack	Give Them What They Want Understanding they can't offer every tool to every advisor, custodians are nevertheless making sure to remain flexible enough to meet advisors' ever changing demands.
Registered Rep. October 1, 2005 John Kador	Schwab Does It Again Charles Schwab, the pioneering discount broker who was slammed by the tech wreck and suffered through protracted management struggles in the past two years, is beating the wirehouses at their own game.
Financial Advisor December 2007 Andy Gluck	What The Tech Deals Mean To You Nearly a decade since the first Internet applications for advisors appeared, we are seeing their adoption and acceptance in all corners of the industry. What does it mean now?
Financial Advisor June 2007 Joel Bruckenstein	Custodians Lend A Hand The large custodial firms are ramping up their technology assistance for advisors.
Financial Planning May 1, 2007 Elizabeth O'brien	Snagging Breakaways Schwab Institutional and Cambridge Investment Research have joined forces to attract financial advisors turning independent. But just how big is the prize?
Investment Advisor July 2006	Upgrades Pershing LLC announced healthy growth in the number of RIAs custodying client assets and trust accounts through its Pershing Advisor Solutions unit... Charles Schwab & Co. announced June 14 a broad reduction and simplification of pricing for its retail... etc.