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  1. Articles

    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

  2. Articles

    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)

  1. Articles

    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 Bernie Clark (Executive vice president and

  2. Articles

    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.

  3. Articles

    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.

  4. Articles

    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.

  5. Articles

    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.

  6. Articles

    Schwab launches adviser-facing robo service

    Institutional Intelligent Portfolios compels advisers to keep at least 4% cash allocation, offers platform for 10 bps.

  7. Articles

    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.

  8. Articles

    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

  9. Articles

    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.

  10. Articles

    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.

  11. Articles

    Exclusive: Schwab robo-adviser crosses half-billion dollar mark

    Retail investors respond in large numbers to the Intelligent Portfolios offering.

  12. Articles

    Waning revenues may mean more fees

    Advisers could face new charges for services such as practice management and technology

  13. Articles

    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.