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Custodians/Fee Only

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Wells Fargo, Paribas Among Firms Fined $549M For Private Messaging

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The SEC and CFTC fined the firms for using WhatsApp and other private messaging apps while conducting business.

Masucci, ETF Managers Group Must Pay $4.4M In SEC Probe Of Pot ETF

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Sam Masucci disadvantaged a cannabis ETF client by favoring an expensive brokerage, the SEC said.

Investment Victims Sound Alarm On 'Broken' RIA Arbitration System

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“We won't stop until the process is fair,” the PIABA's president said at a press conference yesterday.

Creative Planning Adds Goldman Sachs As Custodian

by FA Staff

The Overland Park, Kansas-based RIA now has $210 billion in assets under management.

Schwab Stock Climbs 12% Despite Decline In Bank Deposits

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Investors believe the worst of the bank deposit outflow is over.

Cybercriminals Are Coming To Get Your Clients' Assets

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Cyber threats and what wealth managers will be forced to do about them will disrupt the industry.

Wall Street Is Fighting New York's Ban On Non-Compete Agreements

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New York's law is pitting the interests of technology firms against the entrenched financial industry.

Schwab's New High-Yield Bond ETF Is Tied For Cheapest On The Market

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The Schwab High Yield Bond ETF charges just 10 basis points annually.

Vanguard, Fidelity Top Morningstar's Robo-Advisor Rankings

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Merrill Lynch and UBS robo-advisors received “below average” grades from the research firm.

Schwab Says Advisors Who Define 'Ideal Client' Attract 45% More Assets

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The company urged advisors to study the traits shared by their best clients.

Crypto Exchange Backed By Citadel Securities, Fidelity Goes Live

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EDX Markets will offer trading in bitcoin, ethereum, litecoin and bitcoin cash.

Hightower Makes Strategic Investment In Meyer Capital

by FA Staff

Meyer Capital is one of the first fee-only financial firms, Hightower said.

Schwab Sees Second-Quarter Revenue Declining As Much As 11%

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Executives maintain that the firm's higher-cost borrowing is temporary.

Mercer Gets Major PE Investment Valuing The Firm At More Than $3 Billion

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Toronto-based Altas Partners would become one of the firm's owners under the deal.

Eric Clarke To Retire As Orion CEO

by FA Staff

Clarke will stay on with the firm until the end of the year, the company announced.

Genstar Names Ex-Fidelity Custody Chief Mike Durbin As Cetera Holdings CEO

by FA Staff

Cetera also announced that Adam Antoniades will continue to serve as CEO of Cetera Financial Group, the brokerage operation.

TD To Spend Years On Sidelines Of U.S. Bank Deals, Barclays Says

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The Canadian bank pulled out of a planned $13.4 billion deal for Memphis-based First Horizon on May 4.

Industry Groups Bash SEC's Custody Due Diligence Rule Proposal

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The rule would force advisors to follow a stricter set of regulations when they select custodians.

Schwab Began Hedging Interest-Rate Risk With About $3.9 Billion In Derivatives

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Schwab, which runs both brokerage and bank businesses, has been ensnared in the tumult ravaging regional banks.

Focus Financial Debt Ratings Slashed Amid Private Equity Deal To Go Private

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S&P and Moody's said the firm's extra debt and the acquisition environment prompted the moves.

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