Defining a Standard of Care
- Continuity AND Change. GREEN, JAMES J. // Investment Advisor;Mar2013, Vol. 33 Issue 3, p40
The article profiles Tom Nally, the president of the American registered investment advisor (RIA) custodian TD Ameritrade Inc.'s Institutional Division (TDAI). It mentions that Nally was able to display leadership that both embraces continuity at the custodian while placing his own stamp on the...
- Half of Registered Advisers Add Clients. Ackermann, Matt // American Banker;6/30/2009, Vol. 174 Issue 124, p9
The article reports that a survey from TD Ameritrade Institutional finds that over 80% of registered investment advisers reported that client recruitment at least held steady during the previous 6-month period, while 50% said they added clients. Seventy percent of advisers responding to the...
- 7 Ways to Establish Client Trust. Menefee, Greg // Journal of Financial Planning;Jul2011 Practice Management Solutis, p12
The article focuses on the methods for the financial advisers to establish and maintain trusts with the clients as revealed in the white paper by TD Ameritrade Institutional and LederMark Communications LLC in the U.S. Financial advisers are recommended to listen and learn on the personal and...
- Financial Planning Software-Where to Begin?... // Journal of Financial Planning;Jul2010, Vol. 23 Issue 7, p12
The article offers information on the report entitled "FPA-ActiFi Adviser Technology Report: Financial Planning Software Edition," sponsored by TD Ameritrade Institutional Co., which adopts the necessity of using financial planning software in the U.S.
- TD Ameritrade Stands Tall. Green, James J. // Investment Advisor;Mar2010, Vol. 30 Issue 3, p15
Information about the 14th Annual Conference organized by TD Ameritrade Institutional held on February 3-6, 2010 in Orlando, Florida is presented. The event garnered 2,000 record attendance with 1,200 advisors discussing the transformation of the firm into a better investment firm that attract...
- FOCUS ON: UNIFIED MANAGED ACCOUNTS. // Financial Planning;Dec2010, Vol. 40 Issue 12, pA14
An interview with Scott Egner, manager of managed account solutions at TD Ameritrade Institutional, and Caroline Austin, senior vice president at First Southwest Co. and chief investment officer at FSW Advisory, is presented. Egner says financial advisors need to look for ways to increase the...
- TD Ameritrade Scoops Up Breakaway Brokers. Ackerman, Ruthie // American Banker;7/26/2011, Vol. 176 Issue 114, p12
The article focuses on TD Ameritrade Institutional brokerage which hired 260 independent registered investment advisers (RIA) during the first three quarter of 2011.
- Boomer RIAs lead the pack in succession planning. // Senior Market Advisor;2012 Advisors Guide, Vol. 12 Issue 13, p52
The article presents a survey on succession plan of retiring independent registered investment advisors (RIAs) conducted by TD Ameritrade Institutional.
- TD Ameritrade Institutional's Aggressive Recruiting. Ackermann, Matt; Korn, Donald Jay // Financial Planning;Dec2012, Vol. 42 Issue 12, p20
The article reports on the increase in the number of brokers added by TD Ameritrade Institutional to its platform for independent registered investment advisors in the fiscal year ending September 30, 2012.