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.
Schwab Advisor Services has published a new white paper focusing on legal and regulatory considerations for advisers looking to transition to an independent RIA business model.
An annual report examining SEC-registered investment advisers found that, although the total number of RIAs declined for the first time since 2001, the total assets under management (AUM)...
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.
Charles Schwab’s 2011 RIA Benchmarking Study found that meeting and adapting to regulatory changes was an impediment to growth, cited by 21% of firms for the first time...
Schwab Advisor Services is introducing a consultative program, “Managing Client Profitability,” designed to help advisers grow their business through effective client segmentation.
A judge this week dismissed a case alleging that because brokers are being paid for investment advice by 12(b)-1 fees, they should also be registered as investment advisers.
Mutual of Omaha Retirement Plans Division announced a strategic alliance with Triad Advisors Inc. to help support the sale of its retirement plan solutions.
The Mather Group, a group of retirement investment advisers (RIAs) led by Stewart Mather, has left Morgan Stanley and opened an independent office in Chicago.
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.
TD Ameritrade has started a professional development program that aims to give women in financial advisory roles the tools they need to effectively market their services to female...
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.
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