Custodians/Fee Only Articles

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The Next Step

by Philip Palaveev

How does a firm with more than $1 billion in assets continue to grow?

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State Sanctions Against RIAs Up Slightly, Brokers See 39% Hike

by

State sanctions against registered investment advisors were up slightly in 2013, while penalties against brokers surged 39 percent, the Nasaa said.

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LPL Financial Adds $1.2 Billion Team To Platform

by FA Staff

Grand Rapids, Mich.-based StreamSong Advisors is a newly formed independent advisory firm focusing on high-net-worth investors.

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Scottrade Hires SVP For Unit Serving More Than 1,000 Advisory Firms

by FA Staff

Brian Stimpfl joins Scottrade as senior vice president of program strategy and operations.

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RIA M&A Continues Strong Showing

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Mergers and acquisitions are still going strong, Schwab says, even though many financial advisor firm owners are leaning toward internal succession plans.

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Making Life Easier

by David Lawrence

New players have powerful offerings to take work off your hands.

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TD Ameritrade Planning On Returning Fees To Clients Losing Money

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TD Ameritrade is working on a policy to return fees to managed account clients who lose money.

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LPL Adds Freedom Wealth Alliance To Its Platform

by FA Staff

Based in Brookfield, Wis., Freedom Wealth Alliance is a newly launched, independent, hybrid RIA firm that manages $225 million.

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LPL Adds Financial Advocacy Network To Its Platform

by FA Staff

The Financial Advocacy Network supports four independent advisory practices with a total of approximately $450 million in client assets.

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Triad Advisors Introduces New Platform

by FA Staff

Triad Advisors has a new platform to assist fee- and commission-based independent financial advisors with regulatory and compliance issues.

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