Watch List
By James J. GreenOver the past five years, the focus has shifted for the independent advice community, a shift that has been reflected in the IA 25, our...
March 25, 2008
The Taste of IndependenceAs I approach my first anniversary of independence I think back and consider the ups and downs I've experienced. For those of you in a...
March 07, 2008
Ending a Three-Year Settlement SagaFidelity Investments has agreed to pay an $8 million penalty for accepting over $1.6 million in gifts and entertainment paid for by outside brokers.
March 05, 2008
A Good Year, Fourth Quarter for FidelityOn February 11, 2008, Fidelity Investments released its fourth quarter 2007 and record full-year brokerage results. Total brokerage client assets reached a high of $1.99 trillion in the fourth quarter, a 17% increase from one year ago.
March 04, 2008
Working Out for the BestNew computer........$1,200 Business cards.........$50 Software............$1,000 Seeing the look on a clients face whenever you've helped them..............PRICELESS! Yes, priceless. There's nothing I'd rather do than provide quality advice and service...
March 01, 2008
A Fortified TD AmeritradeStrengthened in advisor numbers and assets under custody by completion of its acquisition of Fiserv ISS, TD Ameritrade opened its 2008 National Conference in Orlando...
March 01, 2008
Fast Growing RIAs Tied to Breakaway BrokersA new study commissioned by Fidelity Investments of the fastest growing RIA firms found that firms that grew their assets under management by more than...