Custodian/Fee-Only - FA Magazine

Custodian/Fee-Only

Fidelity Reaches Milestone With WealthCentral

Tuesday, 31 August 2010
Fidelity Investments says more than 600 advisory firms now use its technology platform for RIAs and that number should more than double in a year.

Schwab To Buy Boston RIA For $150 Million

Monday, 30 August 2010
In a major move to offer institutional and retail clients more investment solutions, Charles Schwab Corp. is acquiring Windward Investment Management for $150 million.

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Brokerages May Need to Switch Custodians

Monday, 16 August 2010
Brokerages may end up hunting for new custodians if a proposal intended to speed up asset verification is approved.

Advisor Avoids Commissions In Serving Smaller Accounts

Thursday, 05 August 2010
Some advisors claim that limiting mutual fund fees will leave smaller investors out in the cold, but here's how this RIA has built a firm that serves small and large clients without commissions.

SEC's Plain-English Rule Will Cost Advisors

Wednesday, 04 August 2010
The SEC wants registered investment advisors to describe themselves to clients and prospects in plain English, something likely to require significant time and money.

Calling Custodians Early May Shorten Exams

Thursday, 29 July 2010
Many advisors wait until the last minute to sign authorizations that allow third-party custodians to share clients' positions with the SEC. That could hold up an SEC examination for months.

Advisor Emporium

August 2010 issue
Advisor Emporium

Fidelity Helps 95 Brokers, Teams Bolt

Thursday, 29 July 2010

Fidelity Investments says it had helped spring some 95 breakaway brokers and teams from their firms and go independent in the first half of 2010.

Looking To Streamline

By Raymond Fazzi, August 2010 issue
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.

Breakaway Trust Officers

By Jeff Schlegel, August 2010 issue
Evercore Wealth Management CEO Jeff Maurer--and many partners at his RIA--adjust to a new life.

Tell The SEC What You Think On Fiduciary Standards

Tuesday, 27 July 2010
The SEC today posted a form for people to comment as part of its study of obligations and standards that should apply to broker-dealers and registered investment advisors.

Advisors Win $2 Million Award From NRP

Monday, 26 July 2010
Two financial advisors won $2 million in arbitration from a retirement-plan advisory firm they left Merrill Lynch to join in 2008, only to be let go the following year.

TD Ameritrade Sees Influx Of Breakaway Brokers

Wednesday, 21 July 2010
TD Ameritrade Institutional announced Wednesday that 212 breakaway brokers have joined its network during the first three quarters of its fiscal year 2010.

SEC To Change ADV Reporting, Group Says

Tuesday, 20 July 2010
State securities regulators are upset over what they say is a plan by the SEC to drop a shared system that has gathered information on RIAs and made it available to the public.

Advisors Gear Up To Shape Financial Overhaul

Monday, 19 July 2010
Broker-dealers and financial advisors say they're satisfied for the most part with the overhaul bill passed by the Senate and are now gearing up to help shape the changes.

Merrill Online Brokerage Focuses On Niche

Friday, 02 July 2010
Traditional e-brokers aren't likely to lose their most-prized customers--active traders--to Bank of America Corp.'s new Merrill Lynch online brokerage.

Frontline News

June 2010 issue
Frontline News

Gunning For Growth

By Bernie Clark, June 2010 issue
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.

Who Is A Fiduciary? Clients—And Advisors—Unclear

Tuesday, 29 June 2010
It's not just clients who don't understand what people who hold themselves out as financial advisors are obligated to do for them. A new survey shows that many advisors are confused, too.

Advisors Need Employment Details In Writing

Monday, 21 June 2010
Financial advisors are typically lured to new brokerages with generous promises, but promises don't buy happiness. Contracts do.


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