Custodians/Fee Only

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Schwab Fined $187M For Misleading Investors About Robo-Advisor Fees, SEC Says

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The company's robo-advisor clients paid de facto fees because of the program's cash allocations, the agency said.

Schwab's Sonders Sees Needle Pointing 'A Little Bit' Toward Recession

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A combination of headwinds makes the Fed's goal of a soft landing appear doubtful, strategist Liz Ann Sonders said.

Team Approach To Fund Success

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“Collaboration” is the watchword at the Dodge & Cox Stock Fund.

Number Of Reps, Brokerages Declined In 2021, Finra Finds

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At the same time, revenues and the number of investment advisor firms grew.

An Efficient Practice Means Leaving Some Clients Behind, Cerulli Says

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Many firms also are not using technology efficiently, the research firm said.

65 Incorporated Rolls Out Medicare Planning Software For Advisors

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The software suite has different plan levels to accommodate the needs of small, medium, and large advisory practices.

Tom Bradley Sees A Wealth Of New Business Awaiting RIAs

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Huge firms and small firms can successfully co-exist, Schwab's Bradley said.

How to Create Your Own Definition Of Independence

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Knowing the truth of how independent you truly are is all about doing your homework before you decide to join an RIA.

Young Advisors To Watch In 2022

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These are the advisors young enough to reimagine the industry, and Covid-19 reaffirmed a lot of their hunches about how that future will look.

The Importance Of Teams

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As clients demand ever more complex services, the need for cohesive teamwork is continually expanding.

Fidelity To Create 12,000 Jobs, Building On Hiring Spree

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Hiring will be across all job functions, Fidelity said.

Fidelity Investments Unveils A Crypto Option For 401(k) Plans

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Fidelity said it created the crypto retirement account product because of demand from clients.

Crypto Billionaire Rankles Wall Street Titans With Derivatives Plan

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Technology could potentially enable trading in any asset class without exchanges, banks or other intermediaries.

Fidelity Bulks Up Thematic Lineup With Crypto, Metaverse ETFs

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Fidelity steps into an increasingly crowded market with more than a dozen crypto-themed equity ETFs already trading.

Orion To Acquire CRM Software Firm Redtail Technology

by FA Staff

The two firms have a long history of integrating their advisor-focused software products.

Schwab Shares Tumble As Profit Misses Estimates On Trading Slump

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Customers placed 6.58 million daily average trades in the first quarter, a decline of 22% from the year-ago.

UBS Lifts Junior Banker Pay For A Second Time To Rival Wall Street

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UBS increased base salaries for first-year analysts to $110,000.

Schwab's Sonders Has Doubts About Fed's Planned 'Soft Landing'

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Liz Ann Sonders, Schwab's chief investment analyst, said the recession risks are rising.

The Form U5 Is A Powerful Weapon

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And deep-pocketed firms can wield it like a cudgel.

Forgivable Loan Offers Can Be Expensive

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Down the road, you might end up paying a bigger price for this recruitment perk than you expected.

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