Custodians/Fee Only

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Breakaway Advisors Ordered To Pay Nearly $1.9 Mil

Two financial advisors and their firm must pay nearly $1.9 million after being accused by the advisors' former employer of allegedly breaching their contract and stealing trade secrets.

Schwab Unveils New Initiative For Financial Advisors

by Joel Bruckenstein

Charles Schwab Advisor Services today announced Project C, a broad initiative designed to help advisors increase the scale and efficiency of their practices.

Independents Make Headway Despite Downturn

A deep recession and market meltdown didn't stop independent registered investment advisors from experiencing growth since 2007-in terms of assets, market share and net-money flows.

What Lower Standards Bring

by Bill Bachrach

A lack of fiduciary standards for the industry means that you have a competitive advantage when you put the client first.

Frontline News

Frontline News

Wells Fargo To Pursue RIAs

Wells Fargo may begin recruiting independent registered investment advisors.

Schwab Reopens Door To Alternatives

Schwab Advisor Services is once again accepting custody of new alternative investments such as shares in hedge funds and private equity.

Roth Conversions Could Affect College Financial Aid

Advisors are finding that clients anxious to take advantage of loosened rules on Roth IRAs aren't anticipating a possible consequence-losing financial aid for their college-age children.

Schwab Sees1Q Profit Drop; Numbers Of New Advisors Rise

Charles Schwab Corp.'s first-quarter profit plunged by nearly a half from a year ago, due to low interest rates and a drop in trading revenue at the discount brokerage.

Spring Brings New Tools From Custodians

Spring has sprung, and with it have come new announcements from custodians eager to describe the ways they can help financial advisors flourish.

How Top Financial Advisors Beat Others

The best advisors aren't just beating their peers. The numbers show them practically pounding them into the ground.

Morningstar Launches Major Upgrade Of Advisor Workstation


Morningstar launched a complete upgrade today of a research and investment software platform used by about one in four advisors in the United States.

Institutional Approach May Work For Your Wealthy Clients


Institutional investing techniques can help advisors provide wealthy individual clients with a more structured investing approach, says Steve Horan at the CFA Institute.

Advisors Seek Simpler Annuities, Education

The retirement guarantees provided by annuities are more important to investors than ever, advisors say, even as many advisors still avoid using them in clients' portfolios.

More Advisors Weighing In On Health, Diet

More financial advisors are talking to clients about pounds as well as portfolios.

New Regs Needed For Financial Planners, Coalition Says


The Financial Planning Coalition is pushing for a law that would require anyone calling themselves a financial planner to be SEC registered and meet certain ethical and educational standards.

Frontline News

Frontline News

Advisors Winning Clients-And Employees

Independent advisory firms are winning new employees from Wall Street wirehouses: experienced brokers who like the RIA model but don't want to run a business.

Goldman To Leave Fidelity


Charles Goldman, who joined Fidelity about a year ago after leaving arch rival Schwab Institutional, is leaving the company at the end of March, according to a company spokesman.

Schwab Helps More Brokers Go Independent


Schwab announced today that it helped a record number of brokers go independent in 2009.

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