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The emerging asset custodians rake in small RIAs

Demand comes from IBD reps, start-ups, breakaways and refugees from the big three custodians -- including a few advisors seeking to avoid a new Fidelity fee

Thursday, December 23, 2010 – 3:03 PM by Brooke Southall
Admin:
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Frederick Van Den Abbeel: We did benefit from Fidelity’s decision and it also introduced us to other Fidelity RIA firms which were not affected -- through referrals.

Mentioned in this article:

Shareholders Service Group
Asset Custodian
Top Executive: Peter Mangan




Katherine

Katherine

April 8, 2011 — 9:54 PM

I’m contemplating joining an RIA in San Diego. the firm has less than $100M in assets.

I have my series 7 and series 66, have just left a B/D and wish to pursue fee-based only business. No commissions.

What is the RIA firm required to do for my licensing? Register me as an IAR with the IARD? Thanks.

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