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Registered Rep.
February 21, 2012
Timothy D. Welsh |
Letter From Dallas: Day Two at t3 Conference -- Going Mobile 75 software vendors jockey for position to gain mindshare of the 400 -- 500 advisors looking to purchase the latest tools and innovation to make their businesses more efficient and scale with their growth.   |
Financial Advisor
December 2011
Eric Rasmussen |
Free-Range Advisors Custodians to independent advisors are in an arms race to give bigger, better software and practice management packages. |
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
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. |
Financial Advisor
January 2011
Andrew Gluck |
A Game Changer TD Ameritrade becomes the first major custodian to open its database so it can integrate with virtually any software firm supporting RIAs. |
Registered Rep.
September 28, 2010
Jerry Gleeson |
Custodians Seek Integrated Solutions To FAs' Tech Needs As custodians compete to draw advisors into the fold, they often tout the superior quality of their technology. |
Financial Advisor
September 2010
Joel P. Bruckenstein |
Key Role Custodians are upping their technology offerings to RIAs. |
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. |
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. |
Registered Rep.
July 5, 2012
Jerry Gleeson |
A League of their Own While the Big Four custodians still dominate the market, some smaller firms are making their presence felt. |
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
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. |
Financial Planning
October 1, 2010
Joel Bruckenstein |
What's Next for Technology This is a time of creativity and evolution in technology, and advisor technology is no exception. As a result, RIA firms can make changes to their infrastructure and in the process create new efficiencies while actually lowering operating costs. |
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.
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 Advisor
August 2010
Raymond Fazzi |
Looking To Streamline Now that they've experienced the harsh consequences of poor business management, fee-based advisors are looking to their custodians and broker-dealers for all the help they can get. |
Financial Advisor
June 2007
Joel Bruckenstein |
Custodians Lend A Hand The large custodial firms are ramping up their technology assistance for advisors. |
Registered Rep.
February 22, 2012
Timothy D. Welsh |
Letter From Dallas: Day Three at T3 -- a Fidelity Robot in the Hall Despite predictions that the crowd would thin on the last day of the Technology Tools for Today (T3) conference after a big night of revelry, advisors, hungry for more technology content, packed the opening keynote speeches. |
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. |
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 Planning
March 1, 2011
Joel P. Bruckenstein |
Efficiency: Hitting the Tech Target Some advisors are still balking at portfolio rebalancing tools and automated workflow technology that could make their practice more profitable. |
Financial Advisor
March 2011
Andrew Gluck |
2011 Tech Trends Advisors should notice these six developments over the coming year. |
Registered Rep.
April 17, 2012
Jerry Gleeson |
TD Ameritrade Recruitment of Breakaways Up 10% The number of breakaway brokers joining TD Ameritrade in its fiscal second quarter continued at the double-digit pace set in 2011. |
Financial Planning
December 1, 2011
Joel Bruckenstein |
Tech Survey From iPads to Androids to cloud providers, technology evolves oh-so-fast, and FP's annual tech survey reveals that advisor technology usage is changing rapidly too. |
Registered Rep.
October 21, 2015
Ryan W. Neal |
MoneyGuidePro, eMoney Join Forces The two biggest names in financial planning software are now partners. |
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. |
Registered Rep.
April 6, 2010
Kristen French |
Custodians In Race To Roll Out M&A Tools TD Ameritrade Institutional is rolling out a new online business valuation tool. |
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. |
Financial Planning
April 1, 2010
Donna Mitchell |
Going for Growth As RIAs gear up to grow their practices this year, they are doing more than scooping up unhappy wirehouse clients. They have identified three major strategies: increase spending on marketing, more technology, and improve client service. |
Registered Rep.
May 2, 2011
Diana Britton |
Top LPL Advisor Leaves to Start His Own B/D, Eyes Acquisitions Registered Rep.'s top-rated 2010 independent broker/dealer advisor Ron Carson has announced plans to leave LPL Financial |
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. |
Registered Rep.
February 17, 2012
Jerry Gleeson |
Envestnet To Buy RIA Software Provider Tamarac Envestnet is looking for a larger share of the RIA market with its latest acquisition. |
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 Advisor
March 2011
Joel P. Bruckenstein |
The Commonwealth Way This independent broker-dealer has made great strides in integrating technology systems into its advisory platform. |
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 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.
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 Advisor
April 2004
Joel Bruckenstein |
TD Waterhouse Comes Of Age Service and technology drive the custodian's success. |
Investment Advisor
October 2009
James J. Green |
More on Migration Cerulli Associates estimates that $800 billion will be moving as advisors change firms. |
Investment Advisor
October 2010
John Sullivan |
Tom Bradley's Vision for the Future The head of TD Ameritrade Institutional looks back on 25 years with the company, and speaks frankly about the keys for future advisor success |
Registered Rep.
September 24, 2015 |
The 2015 Wealth Management Industry Awards Winners Companies like Charles, Schwab, Fidelity, and Betterment are profiled for their achievements in financial services. |
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. |
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. |
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. |
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 Planning
May 1, 2011
Donna Mitchell |
Hybrid's New Groove Registered investment advisor firms looking for ways to expand their businesses might try turning to broker-dealers for a boost. |
Financial Planning
December 1, 2010
Joel Bruckenstein |
Technology Survey 2010 With the renewed interest and investment in advisor technology, we expect to see further gains next year. It is a slow process, but as an industry we are becoming more technologically proficient. |
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. |
Registered Rep.
October 26, 2010
Jerry Gleeson |
Net Assets Rise at LPL, TD Ameritrade Trading revenue (excluding asset-based fees and advisory assets), however, was less impressive, with LPL posting modest gains and TDA seeing big declines. (Not surprising, given the overall market conditions.) |
Financial Advisor
April 2010
Joel P. Bruckenstein |
Productivity Punch Trade PMR, a lesser-known custodian, is getting more attention from advisors, partly because of its standout custody platform. |
