Tag: Custodians

Schwab Advisor Services has launched a campaign called “RIA Stands for You,” a multi-media initiative to help attract affluent investors to the independent RIA category.

The Internal Revenue Service has updated its list of entities approved to serve as nonbank trustees or custodians for certain tax-advantaged savings accounts.

Schwab Advisor Services data on registered investment adviser (RIA) mergers and acquisitions activity for the first half of 2011 shows M&A activity is down from 2010, but deal...

A recently released study from Pulse Logic set out to explain why independent registered investment advisers (RIAs) have more assets under management than broker/dealer affiliated advisers.  

Schwab Advisor Services announced that Laser App, a desktop software package, will be widely available to advisers that custody with the company by the end of the year.

TD Ameritrade Institutional now offers advisers a research-based software assessment tool that compiles a list of recommended customer relationship management (CRM) programs based on the needs of the adviser....

Seventy-five percent of U.S. broker/dealer (B/D) and independent registered investment advisory (RIA) firms are planning to hire in the next 12 months. 

In its quarterly Sentiment Survey of registered investment advisers (RIAs), TD Ameritrade found 73% of respondents said business has grown in the last six months.  

TD Ameritrade Institutional is launching the “Veo Mobile” iPad app as part of its "future adviser workstation" objective. 

The answer to this question will vary from adviser to adviser, but no matter whom you ask, it is hardly ever a matter of “yes” or “no.”   

Eight in ten advisers at broker/dealers and insurance companies say the idea of being an independent registered investment adviser (RIA) is appealing, according to a Schwab survey. 

Charles Schwab has developed a “Select List” of exchange-traded funds (ETFs) to help investors choose the best one for their portfolio.  

Pershing LLC, a BNY Mellon company, says its independent study examines how a dually registered adviser can combine a fee-based and commission-based business.  

A report from Charles Schwab evaluates the pros and cons of combining a traditional brokerage business and fee-based advisory business.

TD Ameritrade Institutional is launching TD Ameritrade Advisor Education, a customizable learning management system for independent registered investment advisers (RIAs). 

Schwab Advisor Services released its industry-wide registered investment adviser (RIA) mergers and acquisitions transaction report, which found there were 109 deals in 2010.   

Stifel Nicolaus' equity research will now be available to National Financial broker/dealers (B/Ds) via Streetscape, the online brokerage workstation.  

Mutual funds from ING Fund Services are now available to Pershing-affiliated broker/dealers (B/Ds) and registered investment advisers (RIAs).  

TD Ameritrade Institutional has been collaborating with third-party technology providers in order to open its Application Programming Interface (API) with its VEO management platform.   

Pershing Advisor Solutions LLC has released a new study, “Creating Growth: The Rewards and Challenges of the Multi-Location Model.”