TD Ameritrade Institutional

TD Ameritrade Institutional

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Business head: Thomas Nally

No. clients: 5000

Min. assets:

tdainstitutional.com

In the News

Cybersecurity looms as adviser business threat

May 22, 2017 - U.S. officials have warned for many years that cybercrime is one of the greatest threats facing the nation, and now financial advisers have to face the reality that their businesses are also vulnerable to digital attacks. News headlines regularly carry...

How 401(k) advisers can bullet-proof themselves against litigation risk under DOL fiduciary rule

May 20, 2017 - Many advisers who service 401(k) plans will, for the first time, be considered fiduciaries with respect to their investment advice when the Labor Department's conflict-of-interest rule comes into force next month. Along with that heightened standard comes...

Shrinking talent pool puts strain on advisory firms

May 20, 2017 - Jon Yankee suddenly found himself in a hiring crunch last month. One new financial planning graduate who had accepted an associate adviser position with his firm, FJY Financial, abruptly backed out, and later that week, a midlevel adviser notified the...

Opponents of DOL fiduciary rule want SEC to modify suitability standard

May 8, 2017 - Some suspense surrounds the fate of the Department of Labor fiduciary rule. Among the cliffhangers: Will new Labor Secretary Alexander Acosta extend the delay of the regulation's implementation date beyond June 9? What part of the rule will be modified...

ICI head casts doubt on further delay of DOL fiduciary rule

May 5, 2017 - The leader of a major financial industry trade association on Friday cast doubt on whether the Labor Department's fiduciary rule would be delayed beyond June. Industry opponents of the rule have been urging new Labor Secretary Alexander Acosta to push...

CFP Board launches program to attract more women planners

May 4, 2017 - The CFP Board Center for Financial Planning is creating a pilot program known as the Financial Planning Re-entry Initiative (FPRI) aimed at expanding the pool of female financial planners. Working in partnership with iRelaunch, a firm that develops career-reentry...

AssetMark entices Cetera's top techie to come aboard and help advisers grow

March 29, 2017 - AssetMark has attracted a top-notch technology executive to its ranks about a year after the wealth management technology firm announced it would be acquired by Chinese securities group Huatai Securities, which paid $768 million for the business in a...

RIAs make the case for charging on a client's total net worth

March 21, 2017 - Seventeen years ago, when Brighton Jones launched as an advisory firm billing clients based on their total net worth, it was a rare and innovative fee structure in the financial planning business. Today, with the financial services industry feeling fee...

Adviser or advisor? The debate rages on

March 19, 2017 - In the annals of financial advice, few questions have divided folks more than whether someone who offers professional financial advice is an "adviser" or "advisor." Trite as it might seem, the debate lives on, possibly because the correct answer is elusive...

Tighter SEC budget likely to keep RIA audits few and far between

March 6, 2017 - The SEC's track record of auditing registered investment advisers on average only about once every 10 years isn't likely to change anytime soon. Even though the commission reported a slight uptick in exams last year, to 11% of all RIAs, the trend in Washington...

    Notes
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Latest news & opinion

Advisers go on the offensive, getting clients ready for the next market correction

Some proactive planners are spelling out for clients the impact of a 10% or 20% correction.

Acosta declines to extend delay of DOL fiduciary rule

Labor Secretary finds no legal basis to delay implementation; rule to become applicable June 9

Phyllis Borzi says opponents of DOL fiduciary rule face uphill climb to further delay or dilute it

Former assistant Labor secretary who crafted the rule says President Trump won't be able to get rid of it simply because he doesn't like it.

Shrinking talent pool puts strain on advisory firms

Attrition, cuts in training programs and new competition make it difficult to fill job openings

Trump miscues, more cash becoming available will drive summer muni bond rally

As Trump agenda derails, municipal bonds are benefitting from flight to safety as well as a mismatch between bonds maturing and new issues.