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Articles tagged "Schwab Advisor Services"

	Title	Date Published
	Why a $1-billion Fidelity RIA is placing LPL at the heart of its 401(k) business Ingham Retirement dropped Sentinel Securities for LPL and is also becoming a retirement plan vendor to many LPL reps	Wednesday 5.22.13
	Schwab 2013 RIA M&A data show hope but also futility David DeVoe and Mark Hurley weigh in on just exactly what is and isn't working	Friday 5.3.13
	How RIAs are helping their clients participate in confusing lawsuits 2008-2009 market meltdown settlements are just now coming to fruition, and giant RIAs are signing up with a filing firm to get in on the action	Wednesday 5.1.13
	How a suddenly wealthy, young Bay Area widow found her RIA after months of fruitless efforts With a big life insurance settlement augmenting a considerable estate, this young mother had literally dozens of sit-down meetings and a hard-fought happy ending	Tuesday 4.23.13
	MarketCounsel launches legal hyperspace button for breakaways who get fired by Merrill Lynch (and friends) before the 'go' date Brian Hamburger's novel service to become an RIA in a day is a response to stepped-up electronic snooping at broker-dealers and nettlesome questions asked by state regulators	Monday 4.8.13
	Cetera raises its strategic profile to 'baby LPL' status with MetLife deal The size of the insurance-IBD roll-up has moved it into a realm between boutique and biggie	Monday 4.8.13
	In the wake of an unusual HR event, Cetera is seeking its new Barnaby Grist Donald Marron has worked to bring class to the IBD business ands Grist captured that in human form	Monday 4.8.13
	TD, Schwab and Pershing RIA units embrace mini-option mania to hedge Google, Apple, ETFs Options have a gambling aura but some advisors find that the are quite the opposite when used with care	Wednesday 3.20.13
	Portfolio Pathway and $3-billion RIA-TAMP deepen an alliance that has Pershing at its core The Illinois-based performance software maker got going from its founder Pershing's roots -- and now an embrace of Folio Dynamix by the clearing company is opening a new chapter	Thursday 2.21.13
	Postscript: What exactly should we make of the T3 phenomenon? True, software vendors themselves may be more enthused than advisors, but the conflagration of information-sharing ventures on RIAs' behalf is no footnote	Friday 2.15.13
	Schwab bluntly reviews PortfolioCenter to coax thin-skinned software vendors to its Zagat-like forum Our take on Schwab's self-review: It's disarmingly fair but short on specifics -- and just plain short	Tuesday 2.12.13
	The RIA M&A market stumbled in 2012, but giants were not deterred, Schwab end-of-year data shows M&A activity still sickly slow by some reckonings, but harbingers of mating activity abound	Monday 1.28.13
	Power shift in Fidelity's RIA sales: Scott Dell'Orfano is out; Rich Policastro defects from Schwab Bob Oros has his hands full as the Fidelity sales effort gains more of a Schwab presence and feel	Wednesday 12.12.12
	Scottrade proclaims itself the 'compliance custodian,' partnering with RIA In a Box and staffing a hotline with ex-regulators But the mega-custodians are having none of it, saying the initiative is good as far as it goes, but lacks the horsepower to tackle the big questions	Friday 12.7.12
	Will FINRA knock out the 'serial movers' and boost the RIA option in the bargain? A rule looked at for decades may finally gain traction	Friday 11.30.12
	Merrill Lynch makes bold moves to train new recruits for an RIA-centric future The rethought training program suits up new advisors -- many of them career changers -- for independence as well as for the wirehouse path	Wednesday 11.21.12
	One Santa Fe woman's female-centric approach to advice is attracting clients to her iconoclastic RIA Manisha Thakor was drafted into her venture by three wealthy women who liked none of the existing alternatives	Tuesday 11.20.12
	Seeing mobile devices win niches in immobile offices, Schwab brings its RIA data to an iPad app The notion of a boardroom in every Starbucks is out -- now the mobility of mobile devices is just a walk down the hall	Monday 11.5.12
	Schwab's plan to quickly get 1,750 RIAs off the desktop gets pricing and a pilot Schwab PortfolioCenter will finally have a cloud option that doesn't take away an advisory firm's control of its data	Friday 10.26.12
	Schwab adds element to plug-and-play technology with eye toward existing RIAs, not just fresh wirehouse recruits NetDocuments will put electronic files right into the CRM window for RIAs using Schwab OpenView Integrated Office	Friday 10.26.12
	The RIA M&A market continues to be a no-show, though 2012 pace is ahead of 2011 Only the roll-ups seem to have the focus, knowledge, capital and deadly intent to get results in this market	Tuesday 10.23.12
	Seeing a clear path to $3 billion, Washington Wealth hitches its venture to LPL but quietly adds Schwab The Middleburg, Va., roll-up-like hybrid RIA is switching some horses after its CEO and founder exited and some funding sources dried up	Friday 10.5.12
	Dynasty clinches an ex-U.S. Trust advisor's trust by playing its U.S. Trust card Doug Pyle and Radnor Capital were absorbed by the firm back in 1999 and now they're finding footing in independence again	Thursday 9.20.12
	Callan terminates a $1-billion RIA as a client after a 20-year run after the RIA turned its competitive guns on Callan CapGroup Advisors began to subadvise fellow RIAs and make its own UMA products, and Callan saw it as a conflict; the RIA agreed	Thursday 8.9.12
	How RIA forces squashed the Bachus bill by calling the implicit FINRA bluff Faced with the threat of more SEC exams and higher fees to pay for them, RIA leaders said in effect: Bring it on	Thursday 8.2.12
	Even as mired markets stalled Q2 merger deals, private-equity-fueled national acquirers revved up prices Only eight M&A deals were inked in the second quarter according to Schwab Advisor Services but what there was, was 'cherce'	Friday 7.27.12
	Luring a $330 million team away from UBS, HighTower opens first San Diego office After five years at Smith Barney, HighTower convinces the team to complete second big move in five years	Tuesday 7.3.12
	RIAs flood Capitol Hill with protests against a SRO-FINRA future on the day of the Bachus Bill hearing Schwab's Clark and TD's Schweiss lead the charge, arriving in D.C. with impassioned advisor missives predicting an 'avalanche of costly regulation'	Wednesday 6.6.12
	TD Ameritrade's promise of creating an RIA version of Apple's app store may have found its prototype signing Bing, bang, boom, HiddenLevers is part of the Veo ecosystem after one developer spent about two weeks writing code	Friday 5.11.12
	Tim Kochis retires, months earlier than scheduled, but also years later than planned The Aspiriant founder sent an e-mail to fellow employees on April 27th saying he's bolting a little early because of projects he wants to pursue.	Friday 5.11.12
	Roll-up-like deals back on the rise in first quarter as RIAs look for succession plans National acquisition firms accounted for more than half of deals, with HighTower the big buyer	Thursday 4.19.12
	Fidelity follows Schwab's lead on hybrid advisors -- and four other items of RIA interest Both big custodians like NFP as a partner; in other news, Morningstar warms to alternatives, EP makes a hire, JHS gets bigger by 75	Tuesday 3.13.12
	Dan Goldie tells how his NY Times bestselling book has changed his practice, and how his co-author affected his life The ex-tennis pro now has windfall prospects but still structures his RIA firm so he can spend all his time with clients	Friday 12.2.11
	David DeVoe, Schwab's RIA M&A chief, leaves to start his own shop Nick Georgis is taking over the position as the former M&A czar launches ambitious venture	Monday 11.21.11
	Trust Company of America is giving RIAs more weapons for free-wheeling New technology puts advisors and clients literally on the same virtual page	Thursday 9.29.11
	Schwab Advisor Services is nearing $800 billion of RIA assets but analysts are split over whether it can continue to dominate Fidelity keeps flexing its muscles as Schwab raises its hybrid-friendly profile, reaches out to IBDs and rolls out an ambitious vendor platform	Tuesday 9.6.11