Custodians/Fee Only

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Goldman To Leave Fidelity

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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

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

Fidelity Recruits 191 Brokers In '09

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Apparently benefiting from Wall Street's troubles, Fidelity Investments said today it helped a record number of brokers go independent in 2009.

Many Advisors Not Subject To Audits

A new rule requiring some RIAs to undergo annual surprise audits may help stem the kind of malfeasance con artist Bernard Madoff has come to represent. But many RIAs won't be subject to them.

Ponzi Scheme Lawsuit Brought Against Schwab

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A class-action lawsuit in South Carolina alleges that Charles Schwab & Co. is liable for its role in a Ponzi scheme because it was the broker-dealer for the victims of the scheme.

Citi Soon Moving Advisors To Fee Model

The change in strategy for Citigroup Inc.'s wealth management group will start to get reflected in advisors' paychecks next month.

Extending Fiduciary Standards Is No Panacea

Headhunter Danny Sarch has a simple reminder for those who want to make brokers adhere to fiduciary standards of service for the sake of protecting consumers. "Madoff was an RIA," he said.

Bridging The Chasm To Independence

by Edward K. Riley

Why affiliating with a broker-dealer makes sense for some advisors who want to go independent.

Frontline News

Financial Services Overhaul Getting Closer December should be a busy month for those involved with overhauling the U.S. financial services industry...

Teams Complicate, Facilitate Broker Moves

The team structure is nothing new to Wall Street brokerages. Nor is the idea that it can make it harder for restless advisors to break away, and take clients with them.

Awareness Fuels Interest In Independence

Educating brokers about the independentfinancial advisor model may be the key to growth for custodians, who safeguardclient assets for independent advisors.

Frontline News

Frontline News

Investors Still Favor Equities, Study Says

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Investors are not as afraid of keeping their money in the stock market as might be expected, even after last year's disastrous market collapse, says a new survey by Vanguard.

Schwab: Advisors In Motion

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A trifecta of statistics from Charles Schwab shows that the market remains fluid for advisors on the move when it comes to changing channels, M&A activity and management buybacks of advisory...

Schwab Eliminates Fees On Advisor Database

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Schwab Advisor Services is eliminating fees on a database that helps advisors sell and buy other firms, a move that's part of a broader effort to enhance services for independents.

Recession Takes Toll On College Savings

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Parents of high school children say the amount of their kids'  total college education costs that they can cover has dropped nearly 27% from last year, according to a Fidelity Investments survey.

Fidelity Slashes Custodial Prices, Fees

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In an effort to win more RIA business, Fidelity Investments is initiating a sweeping series of prices reductions for fees, services and products associated with its custodial services platform.

Schwab Launches New Web Site

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Schwab Institutional has launched a redesigned Web site for its independent advisors.

Morgan Stanley Advisors Strike Out On Own

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Three leading advisors from Morgan Stanley Smith Barney have gone independent and formed Three Bridge Wealth Advisors.

Cuomo Sues Schwab Over ARS Sales

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New York State Attorney General Andrew Cuomo has sued Charles Schwab & Co., alleging the company failed to disclose the risks of auction-rate securities to its clients.

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