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

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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.

Van Den Abbeel

Barry Boyte

Shareholders Service Group

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.

The emerging asset custodians rake in small RIAs

Katherine

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