The number of breakaway brokers joining TD Ameritrade in its fiscal second quarter continued at the double-digit pace set in 2011, the company said today.
Schwab Advisor Services is signing up advisor assets at a pace that tracks its historical average, Executive Vice President of Advisor Services Bernie Clark said.
A startup wants to unite the universe of disconnected RIAs into a national recognized brand of networked firms, with standards, marketing muscle and economies of scale.
Peter Dorsey, TD Ameritrade’s new managing director of institutional sales, has this tip for advisors: restrain the urge to tell potential clients what you know at the get-go.
Bankruptcy among holders of the Certified Financial Planner designation has been rising at a startling rate in the past four years. The number of cases that the CFP Board of Standards reviews has risen from just one...
Two executives with deep roots in the registered investment advisor industry are looking to aggregate a broad swath of RIAs in the latest effort to squeeze better deals out of custodians and fund managers.
Niches are beautiful As markets change and the financial advisory industry demands new services, advisor teams that have the right skills and are paying attention can position themselves as the next go-to practice...
Location: New York City Assets under Management: $250 million Production: $1.9 million Expertise: LGBT investing The last decade has been a tumultuous one for financial advisory services for the lesbian-gay-bisexual...
Location: San Francisco Assets under Advisement: $1.3 billion Production: N/A Expertise: Socially responsible investing Most advisors don't get socially responsible investing, says Thomas Van Dyck, senior vice...
Registered Rep.: How will the SEC handle the fiduciary standard for broker/dealers this year? John Taft: They'll propose a rule, ask for comment on that proposed rule, and they're going to do cost-benefit...
