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Investment Advisor March 2008	Upgrades Business news: TD Ameritrade has completed its purchase of Fiserv's Investment Support Services... Laserfiche introduced the latest version of its document management software... Schwab Funds introduces two new fundamental index funds...
Financial Planning May 1, 2007	New Products A line-up of the industry's latest investment, insurance and practice management products. Alternatives: ProShares has listed 12 ETFs... Managed Futures Fund... Insurance: ING has launched Return of Premium term life insurance... etc.
Financial Advisor June 2007 Marla Brill	Indexing Debate Heats Up Proponents of fundamental indexing say it beats traditional market-cap-weighted measures.
Investment Advisor April 2007 Green & McBride	Catching up with... Jeffrey Mortimer Here, the CIO-Equities at Schwab Investment Management and Laudus Funds discusses fundamental index funds.
Financial Planning June 1, 2008 Arnott et al.	Heads I Win, Tails I Lose Less A Fundamental Index portfolio is neutral relative to the economy, weighting companies in accordance with their current economic footprint. When is it the right choice for investors?
Investment Advisor October 2007 Melanie Waddell	Making Compliance Headway Four years after the passage of the SEC's "compliance program rule," advisors are still grappling with exactly what their annual review process should entail.
Investment Advisor August 2009 James J. Green	Schwab Cuts Costs for Its Advisors Charles Schwab Advisor Services announced a series of moves that will have the net effect of reducing costs to the RIAs that custody with Schwab.
Investment Advisor August 2009 Moseley & Spencer	Technology by the Numbers Even in the challenging market and economic environment, independent advisory firms are looking for opportunities to position themselves for long-term growth by investing strategically in their businesses.
The Motley Fool May 19, 2009 Selena Maranjian	Schwab Gets Competitive Both the company and its customers can profit from this index fund revamp.
Registered Rep. January 22, 2010	Lost Decade? Not For Fundamental Indexing A recent study by Rob Arnott, chairman of Research Affiliates says it paid to use fundamental indexing in the past decade.
Investment Advisor January 2007 James J. Green	Schwab To Sell U.S. Trust Unit Charles Schwab announced that it would sell its U.S. Trust unit to Bank of America for $3.3 billion in cash in a deal that should close in the second quarter of 2007, assuming it passes the necessary regulatory hurdles.
Financial Advisor March 2012 Bernie Clark	The Changing RIA Advisors need to start thinking bigger and go beyond their current capabilities.
Investment Advisor February 2007 James J. Green	Schwab to Bankroll Breakaway Brokers With advisor assets at $500 billion, the custodian will offer financing to big brokers going independent.
Financial Planning November 1, 2007 Mederic Daigneault	Compliance Assessing risk: Begin by considering what services your financial advisory firm provides and to whom.
Registered Rep. December 16, 2011 Jerry Gleeson	Compliance Outsourcing Gains Favor With RIAs Charles Schwab's RIA Benchmarking Study this year reports that 38 percent of firms were outsourcing their compliance functions, up from 27 percent in 2010.
Registered Rep. November 13, 2015 Ryan W. Neal	Despite Volatility, Advisor Confidence High The market volatility in the third quarter wasn't enough to shake advisor optimism.
Investment Advisor August 2006 Thomas D. Giachett	Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process.
Investment Advisor November 2009 James J. Green	Numerology: Fewer Assets, More Advisors Total assets managed by investment advisors shrank in 2008 but the number of SEC-registered investment advisors increased.
Financial Advisor July 2011 Marla Brill	Schwab's Low-Cost ETF Gamble Schwab is undercutting competitors with low fees, but still faces a challenge in differentiating its ETFs from those offered by more established players.
Financial Advisor December 2008 Joel Bruckenstein	Beyond Paperless Laserfiche Avante's document management and other features allow advisors to find new ways to structure work flow.
Financial Advisor March 2011 Marla Brill	New Indexes Nudge Out Old Favorites Advisors who have moved into alternative indexes are finding unique ways to use them.
Investment Advisor April 2006 Andrew Gluck	Your Best Partners More and more, financial advisors are using technology tools to offer additional services and become more efficient.
Investment Advisor January 2010	Upgrades Financial services news and products: Fidelity helps record number of brokers transition... Old Mutual Global Index Trackers launches GlobalShares FTSE Emerging Markets Fund... more...
Financial Planning March 1, 2006 Donald Jay Korn	Weight Watchers New equity indexes, weighed by fundamental factors, are challenging the conventions of passive investing.
Entrepreneur March 2007 Scott Bernard Nelson	Worth a Look A new twist on an old concept shakes up the index fund universe. With some research and observation, it could work for you.
Investment Advisor April 2007 James J. Green	A President For Schwab Walt Bettinger, a longtime Schwab executive, has been named president and COO of the company, effective immediately, raising speculation that he will succeed founder Charles Schwab as CEO.
Investment Advisor March 2007 Kara P. Stapleton	March 2007 Charles Schwab has launched Schwab Advisor Portfolio... Vanguard has filed with the SEC to offer exchange traded shares... A new level of membership launched at myStockOptions.com... etc.
Registered Rep. August 25, 2010 Halah Touryalai	Better Economic Times Ahead? Your Clients Don't Think So. Advisors seem more optimistic about the economy than their own clients, according to a recent survey.
Registered Rep. August 8, 2011 Jerry Gleeson	Schwab: Franchisees Can't Poach RIA Clients Advisors who are considering Charles Schwab's new independent branch program are being told they will have to abide by the company's contact policy.
Financial Advisor April 2006 Raymond Fazzi	A Look At New Horizons At a time when the margin for error is growing thinner and thinner in investment management circles, some are asking whether advisors and their clients are adequately served by cap-weighted benchmarks.
The Motley Fool June 7, 2011 Morgan Housel	Searching for a Better Index Going beyond the S&P 500. For those who don't have the time or inclination to dive into individual stocks, index funds are the way to go.
Investment Advisor May 2006	Upgrades Standard & Poor's launched the S&P Completion Index... Rydex Investments received a private letter ruling from the IRS... Fidelity Investments registered with the SEC... etc.
Financial Advisor July 2010 Bernie Clark	Gunning For Growth RIA firms estimate that they'll see 15% revenue growth this year. An emphasis on efficiency will free principals to go after new business again.
Financial Advisor December 2006 Andrew Gluck	PMS Gridlock Portfolio management software is the heart of an advisory practice -- so why are there so few options? (Hint: look in the mirror.)
Registered Rep. August 18, 2011 Jerry Gleeson	Market Turmoil Could Slow Advisor M&A Two industry experts expect merger and acquisition activity involving registered investment advisors will drop this year if the current volatility in the stock market stretches into the coming months.
Financial Planning August 1, 2010 Joel P. Bruckenstein	Waiting for "Intelligent Integration" This spring, Schwab Advisor Services announced the launch of "Project C"-an ambitious technology initiative designed to deliver high-quality, integrated solutions to advisors.
Investment Advisor February 2010 James J. Green	Schwab Keeps Up the Price Pressure Cuts equity commissions to $8.95 per trade; rolls out more commission-free ETFs.
Registered Rep. February 15, 2011 Stan Luxenberg	Fundamental Indexes Have Had a Good Run. Converted Yet? Proponents claimed that fundamental ETFs and mutual funds would outdo the S&P 500 and other traditional benchmarks. Critics scoffed. But now many of the funds have significant track records, and the results are promising.
Financial Planning September 30, 2013 Allan S. Roth	Portfolio Innovator: Rob Arnott How do you spot a portfolio innovation that works? Rob Arnott, best known for developing the fundamental indexing approach to portfolio management, has almost $100 billion pointing in his direction.
Registered Rep. June 29, 2009 Halah Touryalai	Schwab Cuts Some Fees for 2009 In an effort to ease the financial pain of its registered investment advisors, Charles Schwab has announced a series of initiatives that will save them money.
Registered Rep. July 5, 2011 Jerry Gleeson	Schwab Finds RIAs Posted Record 2010 Revenue, AUM Average profits surged 45 percent last year among registered investment advisors surveyed, but don't look for a repeat of this year.
Registered Rep. November 15, 2005 Kevin Burke	Schwab Fined $1 Million for Lax Oversight of Non-Employee RIAs The enforcement action reinforces the steady drumbeat that firms will be held responsible for failing to have the proper systems in place to detect misconduct, even when the wrongdoers are not employees of the company.
Investment Advisor June 2009	Upgrades News: Neuberger Berman Group is again majority-owned by its employees... Raymond James Financial is implementing Interactive Data Corp's Market-Q... Charles Schwab lowers fund fees... Sales of variable annuities fell 15% in 2008... more...
Financial Advisor April 2004 David J. Drucker	Living With The Rules How to keep the SEC happy without going out of business.
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.
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 Planning September 1, 2006 Jane Worthington	Accounting for Compliance Instead of viewing compliance as a necessary evil, financial advisors should see it as a cost of doing business and learn how to quantify that cost.
Financial Advisor October 2010	Frontline News New SEC requirements that financial advisors create a plain-English version of Form ADV Part 2... Fiduciary Standard Lobbying Season... Does Schwab's Purchase Of An RIA Portend A New Trend?... etc.
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.
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.