Custodians

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  1. Articles

    TD Ameritrade Institutional launching Veo One dashboard for advisers

    Platform allows immediate connection to applications such as DocuSign, Laser App Anywhere, MoneyGuidePro, Orion Advisor Services and Redtail.

  2. Articles

    Pershing, courting digital wealth managers, teams with Motif

    Pershing is partnering with Motif Investing Inc. as the online brokerage start-up looks to expand its services for financial advisers in the U.S. and extend its reach internationally, an executive from the custodian said Monday.“A lot of people talk about the threat of digital. We don't really see

  1. Articles

    Client demand for simpler technology challenges independent broker-dealers

    An increasingly tech-savvy investor base is challenging independent broker-dealers to meet the demand for simple technology in a way that fits into the complexities of advisers' businesses and keeps investors' personal information protected. “The benchmark is being set, whether we like it or not,”

  2. Articles

    Fidelity fined $350,000 in billing snafu

    Finra said the firm overbilled more than 20,000 fee-based accounts in its RIA unit by $2.4 million over seven years and ordered it to pay a $350,000 fine.

  3. Articles

    Mutual Fund Store, once skeptical of ETFs, joins the fray

    It may be the Mutual Fund Store, but company executives are not dogmatic about the "mutual fund" part.Starting in 2015, the $9.5 billion registered investment adviser known for selling mutual funds and financial advice to the masses will add a product to its repertoire: ETFs.The company, in

  4. Articles

    Krawcheck: Wirehouses undaunted by RIA growth

    Former brokerage executive Sallie Krawcheck downplayed the rise of wirehouse breakaways, telling a conference of advisers that wirehouses have more important things to worry about.

  5. Articles

    Service firms race to help advisers create digital platforms

    Custodians and rollups are in a mad dash to develop automated ways for advisers to make serving younger or less-wealthy clients profitable.

  6. Articles

    Fidelity Institutional weighs own robo offering

    Months after teaming with Betterment, Fidelity has added LearnVest to its platform, and may even one day launch its own automated advice platform.

  7. Articles

    Ex-Schwab broker barred for alleged theft of $1 million in office supplies

    Former rep purchased office equipment through the firm's order system without authorization, then sold them to individuals, Finra alleged.

  8. Articles

    Fidelity, Pershing, Schwab join suspension of Schorsch REITs

    The clearing and custody giants have followed B-Ds by suspending sales of nontraded REITs controlled by Nicholas Schorsch, presenting another potential blow to the real estate czar's business.

  9. Articles

    JPMorgan unwinds B-D clearing biz

    Fidelity Investments stands to reap the benefits as JPMorgan Chase & Co. unwinds its legacy Bear Stearns broker-dealer services clearing and custody unit.JPMorgan said it had chosen Fidelity's National Financial Services unit as the “preferred clearing provider” for its broker-dealer customers and

  10. Articles

    Focus Financial teams up with top Chicago RIA

    Rudy Adolf's firm has completed 23 RIA and broker lift-out transactions this year.

  11. Articles

    Rival Fidelity shows up uninvited at Schwab Impact

    Fidelity takes an opportunity to steal some of Charles Schwab's spotlight during the Impact conference, bombarding attendees with its own marketing assault.

  12. Articles

    Schwab sues ex-advisers, RIA over “conspiracy”

    Firm accuses Tampa, Fla.-based Camelot Wealth Management, formed earlier this year by a former branch manager, of unlawful practices in hiring two former Schwab advisers.

  13. Articles

    Pershing playing catch-up with competitors as custodian considers offering commission-free ETFs

    Platforms, popular with RIAs, post tremendous growth for firms, fund managers.