Custodians/Fee Only

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Firm Offers Risk Protection Strategy


A wealth management firm with $1...

SEC: RIA's Bond Ponzi Scheme Defrauded Government Workers


The SEC has revoked the registration of a Florida RIA that it says used a Ponzi scheme to defraud federal and state government workers of at least $34 million.

Another Advisory Group Joins HighTower


An advisory group that earlier this year left Morgan Stanley Smith Barney has joined HighTower Advisors, a high-flying independent RIA and broker-dealer based in Chicago.

Asset Managers Venture Further Into ETFs

As financial advisors increase their use of ETFs, money managers are moving further into the low-cost arena, laying the groundwork to launch additional active and passive funds.

RIAs Transferred To States May Get Dual Exams


The SEC may continue to examine some RIAs that are being officially transferred to state jurisdiction--at least for awhile, according to the SEC's compliance office.

Inside Oxford


How Jeff Thomasson built Oxford Financial Group into a powerhouse.

Back In The Fold?

by David Lawrence

Will the new regulations force independents to return to broker-dealers?

The Price Is Right


Advisory firms and the quest for proper compensation.

Advisor Emporium

Advisor Emporium

LPL Advisor Plans National Expansion


The No. 1 advisor for LPL Financial based on revenue produced has opened two regional offices in Washington state as part of a plan to expand his business nationwide.

TD's Bradley On Small RIA Mergers And CNBC

It's still unclear what regulatory reform will look like, but Tom Bradley, CEO of TD Ameritrade's institutional unit, says small RIA firms may need to consider merging with other firms or...

Fidelity Increases Share In Muni-Bond Market


In the first nine months of this year, Fidelity Capital Markets increased its share of the municipal bond market by more than 50% over the same period last year.

Advisor's Lawyer Blasts SEC Over Charges


A broker who formed his own RIA has been charged with fraud by the SEC  for misleading clients so they would move more than $100 million in assets to his new firm.

Beverly Hills RIA Looks To Grow Beyond Rodeo Drive


Beverly Hills Wealth Management, an RIA started earlier this year by a former Morgan Stanley executive, is setting its sights on attaining a wider profile.

Firms Wish For More Time Before Short-Selling Curb

(Dow Jones) Financial firms are wishing they had more time to prepare their trading systems for a new restriction on short selling that will hit the market in just seven weeks.

TD Ameritrade Unveils UMA Program

TD Ameritrade has unveiled a unified management account program that it says will "revolutionize" how such financial vehicles are tapped.

Key Role

by Joel P. Bruckenstein

Custodians are upping their technology offerings to RIAs.

Fidelity Reaches Milestone With WealthCentral

by Joel Bruckenstein

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


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

Brokerages May Need to Switch Custodians

Brokerages may end up hunting for new custodians if a proposal intended to speed up asset verification is approved. 

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