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
Author Brooke Southall December 23, 2010 at 3:03 PM
Mentioned in this article:
Shareholders Service Group
Asset Custodian
Top Executive: Peter Mangan
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.
