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Articles tagged "Pershing"


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Bill Johnston: Our plans are to work with Pershing to bring private banking solutions to the RIA community in a structured, tailored, thoughtful manner.

BNY Mellon is arming Pershing's RIA unit to the teeth with banking products for ultra high net worth clients

Clients of Pershing RIAs can get jumbo mortgage loans -- a good lure for breakaways used to cross-selling like mad at wirehouses

December 11, 2013 at 6:42 PM

Adri Miller-Heckman:  It's hard to find a woman who got into it who says: I got into this to make a shit load of money.

Long the underdogs, female advisors are actually winning in two important categories, a study based on $3.5 trillion of AUM shows

Trust is where women -- especially with their own gender -- gain the upper hand, the PriceMetrix study concludes

November 18, 2013 at 1:00 PM

Mike Durbin: I won't be threatened until one of these folks wakes up and decides to be a custodian or a clearing firm. I don't find that to be a near- or medium-term risk.

Part II: RIA custodians' answer to challenges to their monolithic control: We still have big-time scale advantages

Roll-ups and other mezzanine firms are squeezing RIA custody margins as a value proposition but the big-brand custodians -- and some new ones -- are liking the cards they have to play

November 11, 2013 at 6:53 AM

Hal Lambert: You're viewed as a $15-billion firm.

Pershing, Dynasty and Envestnet gang-tackle Credit Suisse and jolt loose $1 billion duo

Hal Lambert and Jeff Wildin held their breakaway fire for several years until they could get all the capabilities -- and keep 100% ownership

November 4, 2013 at 2:56 PM

Mark Tibergien in Part II: The balance of power has shifted to advisors, regardless of whether they are on a broker-dealer platform or a custody platform.

Part I: Is the era of the monolithic RIA custodian coming to an end?

RIAs, small custodians, co-ops, study groups, roll-ups, TAMPs, compliance shops, OSJ and IBDs are all chipping away at much of what fit under the roofs of Schwab, Fidelity, TD and Pershing

November 1, 2013 at 4:51 PM

Steve Dunlap joined Cetera for its flat organization. In his new home people 'can sit around a table and contribute ideas.'

Making sense of Steve Dunlap stepping into Barnaby Grist's 'big shoes' as Cetera's RIA czar

The Lockwood, Pershing and Schwab alumnus with a products and PM background is tasked with leading strategic development and expansion of Cetera’s RIA unit

June 28, 2013 at 12:59 PM

Alan Markarian: We're the largest commercial bank focusing on this need.

How U.S. Bank appeared on the scene as an RIA custodian and where it might find love

Though the brand seems to scream out Generic Retail Bank, its Cincinnati RIA unit see room to wrest share from bigger, more faceless banks and the smaller brokerages

June 11, 2013 at 6:15 AM

Leonard Palmer allows that not every RBC broker's request to become an RIA under RBC is approved.

What ever became of RBC's RIA custody unit after it showed such promise

Royal Bank of Canada high-ups say RBC Advisor Services still holds importance, but the Cerulli numbers are concerning and some RBC brokers are barred from channel switches

May 16, 2013 at 5:08 PM

Bill Crager: The content race will be on and we'll open up a whole new competitive landscape for asset management.

Having won advisor assets, Envestnet's next -- more Google-like -- play is for their smarts

The Chicago outsourcer will soak up and synthesize information from 23,000 advisors and distribute it in real time in an effort to create one big giant brain out of an atomized industry

May 10, 2013 at 5:40 PM

Sanjiv Mirchandani: People in this business don't make a move until they get everyone in the family to make a sale.

Fidelity gleans why so many 'attractive' advisors cling to wirehouses and Cerulli's newest RIA data shows plenty find courage

Those hefty retention bonuses aren't the only thing keeping brokers tied to their desks -- family sentiment has huge impact on 'fence-sitters'

May 8, 2013 at 10:16 PM

Ed O'Brien: Any of the custodians could probably put together an offering like this ...  but they haven't.

Is Fidelity's move to put RIAs deeper into the cloud gonna make it rain?

'First to market' crows Fido. 'Not even close' counter other custodians. But one expert says the Boston-based firm's one-click platform could change everything

May 1, 2013 at 11:59 PM

Roger Hewins: What the heck are they doing for clients to earn this?

Industry leaders puzzled by RIAs' being paid by Schwab and Fidelity for investing in funds

Some RIAs see it as an unacceptable conflict, but the custodians are unabashed about the arrangements

April 19, 2013 at 5:11 AM

James Maher: From a conflict standpoint, it was very awkward.

Merrill Lynch team breaks away from Bank of America (yes, ironically) to get better access to bankers

James Maher is forming Archford Capital Strategies as a wealth manager that needs capital galore to unlock his clients' billions in assets from illiquidity

April 2, 2013 at 6:33 AM

Matthew Tuttle: If I'm trading 100 shares and hold on to them forever, I'll think this is awesome, but for RIAs this is a disaster.

Fidelity quietly imposes an ETF 60-day fee that makes RIAs with trading strategies seethe

Mike Durbin says that Fidelity still has net trading costs on iShares that are pretty unbeatable

March 15, 2013 at 5:33 PM

Frank Zecca: We do so much for our athletes. We don't have a lot of time to figure out how to run our business.

How exactly a sports super agency plans to use Dynasty Financial to extend its dominance to the RIA business

Octagon has 800 employees, Michael Phelps and the like as clients but it wealth management arm is not so major league, yet

February 26, 2013 at 4:43 PM

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