TD Ameritrade Q3 Earnings Fall, but Net New Client Assets Up 23%
By James J. GreenPete Dorsey, managing director of TDAI, says the unit is on track to add a record number of breakaway brokers, with 324 added in the fiscal year to date.
July 06, 2012
It’s Not Too Late to Make Your Voice Heard on SRO BillIf youre not in favor of having FINRA become the SRO for RIAs, join the advisor grass-roots effort to advocate with Congress against Bachus bill.
July 02, 2012
Women Are an Opportunity, Not a Niche: Schwab’s ClarkAmong the lessons from Schwabs Women and Financial Independence Study, according to Bernie Clark: Dont treat us differently, but do get to know us and our goals.
June 29, 2012
Surprise! HNW Women Want Investment Performance From Their AdvisorsWhat do wealthy women really want in an advisor? Solid performance, not just a financial plan, a Schwab study found.
June 29, 2012
Fees and Fiduciary: Good Business, Bad Marketing, Pt. 2What do todays affluent investors really want? One implication of the Sullivan/Northstar research: advisors who frequently talk about fiduciary could actually reduce trust with prospective clients.
June 29, 2012
Top 10 RIA-Friendly Indie BDsInvestment Advisor magazines 2012 BD Reference Guide helps sort and rank IBDs in five major categories, with AdvisorOne here highlighting 10 by their accommodation to RIAs.
June 28, 2012
SEC Enforcement Roundup: $100M Real Estate Ponzi Scheme BustedRecent SEC actions include shutting down two Ponzi schemes, one that brought in $100 million and another that collected $42 million. A Malaysian advisor was sued for not advising.
June 28, 2012
D-Day Has Arrived for the ‘Switch’ From Federal to State RegistrationThursday marked the deadline for advisors with assets of between $25 million and $100 million under management to switch from federal to state jurisdiction.