Custodians

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  1. Articles

    Custodians ranked by number of RIA custody clients

    FirmAddressCity, State ZipPhoneWebsiteHead of RIA custody business2014 # of clients% change vs. 20132014 assets under custody% changeMinimum assets of advisersSchwab Advisor Services211 Main St.San Francisco, CA 94105(877) 687-4085www.advisorservices.schwab.com Bernie Clark (executive vice ...

  2. Articles

    TD Ameritrade swims upmarket

    United Capital's chief executive, Joe Duran, admits that three years ago, he would not have considered putting any of his millionaire clients' money with TD Ameritrade Institutional.

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    Advisers rebuilt investors' faith

    The Charles Schwab Corp. had a few challenging years following the financial crisis. But a focus on the RIA business has paid off as the firm's RIA custody unit crossed $1 trillion in assets last fall.

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    Schwab adding Morningstar Office to its RIA platform

    Deal part of custodian's integration initiative with tech product providers.

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    Merrill Lynch team with $592M in assets moves to LPL

    A team of six Merrill Lynch Wealth Management financial advisers, now known as IHT Wealth Management, has joined LPL's broker-dealer and hybrid RIA platform in downtown Chicago. The six advisers — Steven Dudash, Alex Papadopoulos, Orlando Ochoa, Ryan Wittig, Peter Arboleda and Scott Staley —

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    Republicans reject SEC user-fee amendment to appropriations bill

    Republicans reject SEC user-fee amendment to appropriations bill that would have provided additional funding for adviser exams

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    Pershing affiliate Albridge in major update to wealth reporting platform

    Newly integrated platform includes reporting tools and data management services.

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    Seeing writing on wall from Finra, Schwab throws in towel on class action lawsuit

    As regulator made it clear it was ready to fight tooth and nail, firm moves to settle, pay a fine.

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    TD Ameritrade lifts profits, pushes back on high-frequency trading

    CEO says best execution is first order of business; competition for RIA customers remains strong.

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    Account opening is No. 1 tech concern: Survey

    Beacon finds 'client onboarding' has replaced social-media archiving as brokers' biggest technology challenge.

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    Technology integration at custodians moving into second wave

    Big Four have their own strategies for simplifying advisers' and clients' lives.

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    New online platform looks to challenge RIA custodians

    Motif launches platform for advisers to ease, speed portfolio re-balancing.

  11. Articles

    A whirlwind week of conferences

    I definitely earned my frequent flyer miles last week. On Monday, I made my way down to our nation's icy capital to attend the Financial Services Institute Inc.'s big gathering of independent broker-dealers and financial advisers. As usual, the annual conference, dubbed OneVoice 2014, was a ...

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    Live! From TD Ameritrade Institutional: With money now – and more to come – Gen X and Y are ripe for advice

    There is no time like the present for financial advisers to pick up a piece of the $28 trillion that Generations X and Y will control in a decade. In fact, one third of that is available now. Even though many advisers don't think younger investors are worth their time, there are 2.18 million

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    Live! From TD Ameritrade Institutional: Advisers show Mitt Romney the love

    Former Mass. governor and presidential candidate offers standing-room only crowd his take on global politics and domestic policies.