Tag: RIAs

The much-anticipated report from the Securities and Exchange Commission (SEC) says Congress should consider three options for improving oversight of registered investment advisers (RIAs): user fees, a self-regulatory...

Pershing LLC, a BNY Mellon company, announced upgrades to its Advisor in Transition practice management program. 

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.   

JMG Financial Group, Ltd. has appointed Thomas Harty as a retirement plan consultant.

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

Consulting firm kasina has published a report examining the methods asset managers should use to sell to registered investment advisers (RIAs).  

Fidelity has launched a program, “Options for Independence,” to help breakaway brokers understand the range of options available to them when going independent. 

The Trust Representative Office (TRO) program will provide the registered investment adviser (RIA), Moneta, with branded trust services and a referral marketing program targeting local centers of influence. 

SEI Advisor Network today announced a program called No Advisor Fees, No Matter What.

The “Form ADV Part 2 Brochure Template” will help investment advisers with the new required format based on the recent Securities and Exchange (SEC) rule update.

Triad Advisors, Inc., a subsidiary of Ladenburg Financial Services Inc., announced that Planning Solutions Group is joining the firm as an independent branch office.

Charles Schwab issued a report today that examines how independent registered investment adviser (RIA) firms can benefit from segmenting their client base and offers strategies on how to...

New services from TD Ameritrade Institutional are designed to help independent registered investment advisers (RIAs) and third-party administrators (TPAs) grow their retirement plan business and better meet the...

RIA in a Box, a registered investment adviser (RIA) consultancy firm, has partnered with Lloyds of London and the North American Professional Liability Insurance Agency (NAPLIA) to provide errors...

Brian Davis has been promoted to head of Scottrade Adviser Services, a division of the firm that offers institutional trading and custodial services to independent registered investment advisers...

Former Mercer outsourcing principals Peter Gosselin, Shawn Charles, and Julie Doran have formed Gosselin Consulting Group LLC, an independent, full-service institutional investment consulting firm.

National Financial, a Fidelity Investments company and provider of custody and clearing services to broker/dealers, announced a suite of fee-based trading capabilities into its Streetscape brokerage workstation.

Fidelity WealthCentral, a hub for registered investment advisers (RIAs) to use third-party solutions, has partnered with Black Diamond for use of its BlueSky system.

A new Fidelity program, “Expand Your Practice,” is intended to help registered investment advisers (RIAs) analyze their readiness to grow through mergers, acquisitions, or hiring new people.