RIABiz

News, Vision & Voice for the Advisory Community

RIABiz

The emerging asset custodians rake in small RIAs

Demand comes from IBD reps, start-ups, breakaways and refugees from the big three custodians -- including a few advisors seeking to avoid a new Fidelity fee

Author Brooke Southall December 23, 2010 at 3:03 PM
Admin:
no description available
Frederick Van Den Abbeel: We did benefit from Fidelity’s decision and it also introduced us to other Fidelity RIA firms which were not affected -- through referrals.

Katherine

Katherine

April 8, 2011 — 9:54 PM

I’m contemplating joining an RIA in San Diego. the firm has less than $100M in assets.

I have my series 7 and series 66, have just left a B/D and wish to pursue fee-based only business. No commissions.

What is the RIA firm required to do for my licensing? Register me as an IAR with the IARD? Thanks.


Mentioned in this article:

Shareholders Service Group
Asset Custodian
Top Executive: Peter Mangan



RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING


RIABiz Directory sponsored by:

Directory Sponsor Logo