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Advisers' deaths without transition plans force custodians into action
Custodians are stepping up their game at the same time regulators are putting an emphasis on business continuity and succession
Custodians try to entice breakaways with substantial perks
More deal sweeteners are being used by custodians to lure big breakaway teams. (Plus: Our special report on custodians and clearing firms)
Custodians and clearing firms ranked by number of clients
Custodians ranked by number of RIA custody clients FirmWebsiteHead of RIA custody business2015 # of clients% change vs. 2014Assets under custody ($M)% change vs. 2014Minimum assets of advisersSchwab Advisor Serviceshttpwww.advisorservices.schwab.com Bernie Clark (Executive vice president and
Is it time to jump into energy stocks?
Breakfast with Benjamin: If 13 weeks of falling energy-stock prices has you looking for an entry point, hold your fire: The sector is still very pricey.
SEC appeals own judge's decision in case on custodians' payments to advisers for fund picks
The regulator is fighting a decision by its administrative judge to dismiss charges accusing two financial advisers of not informing clients they were paid by Fidelity Investments to sell certain mutual funds.
Automated advisers attract much smaller clients than humans: Morningstar
Digital investment platforms with human advisers bring in account balances 10 times higher on average than regular robo-advisers.
Breaking down the best robos for your practice
Advisers have a lot to consider when picking an automated investment service to use with their clients — here is a rundown of the features and functionality of the top adviser-targeted platforms.
Schwab launches adviser-facing robo service
Institutional Intelligent Portfolios compels advisers to keep at least 4% cash allocation, offers platform for 10 bps.
RIAs join brokers in promoting securities-backed lending
The practice is growing quickly even beyond wirehouses, but some are concerned about the risks and conflicts of interest.
TD Ameritrade Institutional: Elite LINC 2015: Advisers must brace for volatility
It's nice to be one of TD Ameritrade Institutional's "elite" financial advisers.I know because I am hanging out with 168 of them at TDAI's Elite Adviser Summit at the uber swank Grand Del Mar Resort in San Diego, Calif. Not only are they getting treated like adviser royalty, but they get to mix and
Adviser gets a rare win over the SEC in mutual fund case
Administrative law judge rules against the agency in closely watched case over disclosure of Fidelity payments for mutual fund sales.
Pershing CEO: RIA growth outpacing B-Ds
Ron DeCicco expects the RIA channel to continue growing while regulatory pressures and higher expenses weigh down broker-dealers.
Exclusive: Schwab robo-adviser crosses half-billion dollar mark
Retail investors respond in large numbers to the Intelligent Portfolios offering.
Waning revenues may mean more fees
Advisers could face new charges for services such as practice management and technology
Time for RIAs to set transition plans as SEC steps up focus
Regulator turning attention to how risks arising from advisers' asset management business might cascade throughout the economy.