Tag: 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.

The Unified Managed Account Exchange, UMAX, will provide independent registered investment advisers (RIAs) with more flexibility and allow them to expand investment options for clients.

A survey conducted by Rydex|SGI's AdvisorBenchmarking of 427 registered investment adviser (RIA) firms found their average assets under management (AUM) increased by 28% from 2008 to 2009.  

EPIC Advisors, a 401(k) plan recordkeeping firm, has appointed Carolyn Richardson as a sales consultant. 

The Charles Schwab Independent Advisor Outlook Study indicates that while advisers see cause to be optimistic, their clients are more unsure.  

As if there wasn’t enough uncertainty swirling around the financial services industry at present, the Securities and Exchange Commission (SEC) wants to make changes to...

White Horse Advisors, LLC is now an SEC-registered investment advisor (RIA).