Clearinghouses/custodians

The firm is consolidating its broker-dealer and standalone RIA custody units into one division.

It’s a big decision, and getting it right the first time around can avoid a lot of headaches, experts say.

Three out of the top four RIA custodians compete directly with their RIA clients through their networks of branch offices and call centers.

The firm’s National Financial Services allegedly failed to deliver certain basic information to clients in five public offerings of shares in a fuel cell technology company.

The custodian’s NetX360 desktop now supports biometric authentication.

The custodian has restructured the way it services RIAs and plans to scale.

New digital integrations with CAIS and iCapital make it easier for independent advisors to access private equity and hedge funds.

The company’s new self-guided tool will generate a plan for clients in as little as 15 minutes.

The regulator charged a $1.4 billion hybrid firm over disclosure of its cash sweep arrangements with its clearing firm.

We need to let go of the idea that everyone should own and trade stocks. Some people are emotionally unfit to do so.