RIA

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  Trust Co. of America Aligns With RIA in a Box to Help Breakaway Brokers

  By Melanie Waddell, AdvisorOne  |  May 1, 2013

  The alliance will help breakaway brokers in Trust Co.’s Advisor Pathways program decide whether they want go independent, join an existing RIA firm, or sell their practice and exit the market.

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  Poll Results: As SEC’s Schapiro Steps Down, Advisors Speak Up

  By James J. Green, AdvisorOne  |  December 13, 2012

  Our AdvisorOne survey found some sentiment for Sallie Krawcheck, but gave regulators overall poor marks for protecting consumers and providing a level playing field.

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  All For One and One For All: What RIA Roll-Ups Can Teach All Advisors

  By James Carney, ByAllAccounts  |  August 16, 2012

  Call them what you will—consolidators, holding firms or roll-ups—but these acquirers are showing the way by consolidating operations and achieving greater transparency.

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  The Spirit of Scottrade: Little Firm Pushes Big Value

  By John Sullivan, AdvisorOne  |  June 26, 2012

  If you haven’t heard of Scottrade Advisor Services, you’re forgiven. Started in 2005, it resides in the decidedly non-financial hub of St. Louis, but the institutional business is coming on strong, finding a niche among the big boys.

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  TD Ameritrade Institutional Names Dorsey Head of Sales

  By James J. Green, AdvisorOne  |  March 30, 2012

  Peter Dorsey replaces now TDAI-PresidentTom Nally as managing director of institutional sales.

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  Top Compliance Concerns From RCA: Pay-to-Play, Form PF, Social Media

  By Marlene Y. Satter, AdvisorOne  |  March 29, 2012

  Fresh off starting their new positions at Regulatory Compliance Associates, Craig Moreshead and Lori Weston have zeroed in on three issues that should be on advisors’ radar screens.

• Tech Execs Look to the Future: TD Ameritrade Conference

  By John Sullivan, AdvisorOne  |  February 3, 2012

  A gathering of executives from up-and-coming, as well as established, technology companies sat with AdvisorOne at the TD Ameritrade conference in Orlando Friday morning for a discussion of the state of advisor technology, integration, and where innovation is likely headed next.

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  Fidelity Hires Away Trust Co. Senior Sales Exec Oros

  By John Sullivan, AdvisorOne  |  January 27, 2012

  In a surprise move on Friday, clearing and custodial firm Trust Company of America announced that vice president of national sales Bob Oros is leaving to become EVP of RIA sales and relationship management at Fidelity Investments.

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  Pershing Releases Advisor Business, Succession Planning Guidebook

  By James J. Green, AdvisorOne  |  January 16, 2012

  Practical guide from Pershing Advisor Solutions provides workbooks for, and case studies illustrating, successful advisor business and succession planning solutions.

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  The Few and the Proud: Chief Compliance Officers

  By Les Abromovitz  |  January 1, 2012

  CCOs make significant contributions to success of an RIA, designing and implementing compliance programs that prevent, detect and correct securities law violations.  When major compliance problems occur at firms, CCOs will likely receive regulatory consequences.