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Articles tagged "Pershing"


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David Miller: They said, If you leave we'll come with you.

Portfolio Pathway and $3-billion RIA-TAMP deepen an alliance that has Pershing at its core

The Illinois-based performance software maker got going from its founder Pershing's roots -- and now an embrace of Folio Dynamix by the clearing company is opening a new chapter

February 21, 2013 at 6:00 AM

Tim Welsh: If you're not there people say, Why isn't so and so there? It's the missing persons effect.

Postscript: What exactly should we make of the T3 phenomenon?

True, software vendors themselves may be more enthused than advisors, but the conflagration of information-sharing ventures on RIAs' behalf is no footnote

February 15, 2013 at 6:02 AM

Brian Davis: This isn't meant to be a deep dive, but to answer those yes and no compliance questions RIAs have on a day-to-day basis.

Scottrade proclaims itself the 'compliance custodian,' partnering with RIA In a Box and staffing a hotline with ex-regulators

But the mega-custodians are having none of it, saying the initiative is good as far as it goes, but lacks the horsepower to tackle the big questions

December 7, 2012 at 5:01 AM

John Waldron: We know that LPL is putting things in place so that it can focus on the ultrahigh-net worth market, but we wanted to be with partners who already have those services in place.

$1.2 billion RIA breaks it off with LPL as new beaux Fidelity and Pershing vie ardently for favor

Seeking support for its superrich clients, Waldron Wealth lets the big IBD down easy, retaining its subsidiary, Fortigent

November 7, 2012 at 7:40 AM

Suresh Kumar's name was synonymous with NetX360 and now he's watching from a loftier BNY perch.

Suresh Kumar moves on to BNY Mellon and Pershing and NetX360 adjust to life without the maestro

The Jersey City-based clearing and custody company is filling the big shoes of its former chief information officer with two of his former underlings

October 9, 2012 at 4:22 PM

Dean Cook: In the end it came down to Pershing and TD.

TD Ameritrade wins a $2.5-billion RIA custody client on the strength of its delivery of B-to-B capabilities using Orion, Veo and API

FTJ FundChoice took its assets from a bank in the name of efficiencies aimed at big growth

September 12, 2012 at 4:26 AM

Jim Dario developed respect for TD Ameritrade over the years as a competitor.

What's up with Jim Dario making the leap from Pershing to TD Ameritrade

The former Fidelity star -- and an almost star in 'Jaws' -- made an intra-Jersey City move but actually never left Boston

September 5, 2012 at 3:46 PM

Dan Cronin is BNY Mellon's emissary to the largest, most sophisticated RIAs as it works to find investors for dozens of investment boutiques under its brand.

Dan Cronin jumps from key RIA role at RBC to a new spot at BNY Mellon Investment Management

The longtime Fidelity and Schwab liaison to registered investment advisors has a new mission -- RBC's mission is less obvious as its chief sales guy to RIAs departs

August 17, 2012 at 3:46 AM

Ben Welch: This is a big advancement.

TD Ameritrade showcases what API can do with slick Veo-iRebal harmonization

The RIA custodian is creating -- and third parties are applauding -- a time-saving, low-error way to trade and rebalance

August 14, 2012 at 3:47 AM

New York not the center of the RIA world? Fuhgeddaboudit!

Why the slow-evolving metro New York area is still on course to be the capital of the RIA business

The city's sheer wealth and jungle-like powers of regeneration alone mean that it can stomp San Francisco

August 8, 2012 at 4:02 AM

Jonathan Drubner: I knew if I could just find a mentor and someone who shared my philosophical views that I would be happy.

Why an ESPN sportscaster and comedian turned in his blazer to join a Los Angeles RIA -- and why the firm took a chance on him

In what may be an industry trend, L&S advisors is betting on a career-changer with more to offer than experience

July 26, 2012 at 4:01 AM

Steve Hirsch: We didn't want to invest in something that wouldn't be used.

Schwab finally hops on the iPhone app bandwagon -- to the iTune of 30,000 potential RIA employees

The big custodian went live on Thursday morning after a pilot with 15 advisors -- and about 18 months after Fidelity

June 29, 2012 at 4:37 AM

Black Diamond founder Reed Colley is relocating to San Francisco to help chart Advent's broader future with his knowledge of mobile, social media and the cloud.

A year after the Advent-Black Diamond deal, the merged company is making some big chess moves

Reed Colley switches coasts as new hire Mike Golaszewski heads the other way to Jacksonville and the Advent-Black Diamond sales teams merge

May 21, 2012 at 3:34 AM

Chad Clary (l.) and Dane Crunk channeled their West Texas clientele who run entrepreneurial businesses poised to capture the new oil boom.

Merrill Lynch PBIG team breaks away in tumbleweed country to better pursue next-gen oil fortunes

Chad Clary and Dane Crunk are bringing Dynasty Financial's technology to UHNW folks with dusty boots, deep tans and around $800 million of assets

May 8, 2012 at 6:28 AM

Jon Patullo: If they're on the golf course, they can place the trade and have somebody back in the office make the allocation .

TD Ameritrade makes trading on iPads for RIAs available before mobile devices

Jon Patullo encourages RIAs to leave the laptop at home on travels to avoid back pain

April 5, 2012 at 1:56 AM

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