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  1. Articles

    How to avoid becoming a tax scam victim

    Breakfast with Benjamin: After the big IRS data breach, few people probably trust the agency regarding data security. Nonetheless, it's offered a checklist of ways to avoid becoming a tax-scam victim.

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    Fidelity, Schwab to halt AR Capital sales

    Firms pull the plug after Massachusetts charges RCS Capital with fraudulently rounding up proxy votes to support real estate deals sponsored by AR Capital.

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    TD Ameritrade launches website to spur adviser advocacy

    A leading custodian is trying to get advisers on its platform — and others in the industry — more involved in lobbying Congress on behalf of registered investment advisers.

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    TD Ameritrade weighs charging fund companies on its commission-free ETF platform

    RIA custodian is also "taking a look" at role of Morningstar in selecting funds and considers sharing data on advisers, according to an executive.

  3. Articles

    American Funds making inroads with fee-based advisers

    In its sales turnaround, third largest U.S. fund company relies on retention of existing advisers and lower-cost share classes.

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    Eaton Vance's NextShares gets its first custodian on board

    FOLIOfn Investments said it plans to offer the exchange-traded managed funds when they start trading.

  5. 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

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    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)

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    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

  8. 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.

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    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.

  10. 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.

  11. 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.

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    Schwab launches adviser-facing robo service

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

  13. 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.