Welcome to the
TDA4advisors Blog

We are excited to share a collection of relevant, timely, and insightful articles that can help you grow and strengthen your business. TD Ameritrade and leading industry experts will be contributing their unique perspectives on the challenges and opportunities that RIAs are facing today. Thank you for joining our community and we look forward to connecting with you!

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  • by Kate Healy
  • Managing Director, Advisor Marketing & Sustainability, TD Ameritrade Institutional

AdvoKate: Building Our Talent Pipeline, Together

When it comes to nourishing the future of the RIA industry, TD Ameritrade Institutional’s own Kate Healy is a woman on a mission. Determined to reach back and lift others up, she’s a constant presence at industry conferences and events — leading the charge to educate and encourage current and future advisors. She has so much knowledge and inspiration to share, we’re pleased to introduce her new blog series “AdvoKate.” Here Kate will keep you up to date on what we’re doing to nurture and sustain RIAs with a focus on diversity and NextGen talent.

Martha Tullis (RIA NextGen Scholarship Winner) and Kate Healy

Martha Tullis and Kate Healy

Demand for financial planners is growing—that’s great news. The challenge is that there’s not enough talent out there to fill the void. I think, however, that if we work together, we can build a great talent pipeline.

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  • by Skip Schweiss
  • President, TD Ameritrade Trust Company
    Managing Director of Advisor Advocacy & Industry Affairs

Advocating for You: DOL Conflict of Interest Rule Front and Center: What Now?

TD Ameritrade Institutional’s own Skip Schweiss recently received the 2016 Insider’s Forum Leadership Award—reinforcing our position as a steadfast advocate for independent RIAs.

To ensure you get the most out of the meaningful work Skip does, we’re pleased to introduce his new blog series, Advocating for You. Here we will check in with Skip as he continues to give RIAs a voice in Washington, DC, and supports advisors throughout the country. We want to be sure you hear from him often, and have a way to connect with this great resource. It’s all for you.

L-R Unknown, Carol Craigie, Sen. Cory Gardner, Linda Leitz, Kris Tower, Skip Schweiss

L-R Unknown, Carol Craigie, Sen. Cory Gardner, Linda Leitz, Kris Tower, Skip Schweiss

Elections have consequences, someone once said. Two weeks after being sworn into office, President Trump issued an executive order instructing the Department of Labor (DOL) to take a fresh look at its Conflict of Interest Rule (the Rule). DOL was asked to consider whether it:

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  • by Vanessa Oligino
  • Director, Business Performance Solutions, TD Ameritrade Institutional

M&A Activity is Heating Up in the RIA Space

Merger and acquisition (M&A) activity has been heating up to a new level of intensity. Why? There are a number key drivers contributing to this trend of advisory firms looking more and more toward M&As as a growth or succession strategy, including:

• Average age of founding advisors
• Economic climate
• Access to investment capital
• Increasing sophistication of RIAs

Major industry deals¹ reached a record high in 2015 (85), double the deal total from one year prior. The 2016 deal total came in at 77 and, while slightly off from 2015, it was the second-highest total over the 16 years in which FA Insight has collected data on advisory firm M&As. As illustrated in the chart below, prior to 2015, the average annual number of deals was 42, it is possible that the M&A boom may have finally taken hold.²


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Monthly Archives

NextGen Scholarship and Grant

Twelve $5,000 scholarships to deserving and talented students. One $50,000 grant to a university with an established program and one $25,000 grant to a university with an emerging program.

Apply April 3, 2017 through May 31, 2017

Program administered by International Scholarship and Tuition Services, Inc. (ISTS), a separate company not affiliated with TD Ameritrade. TD Ameritrade and ISTS are separate, unaffiliated companies and are not responsible for each other’s policies or services.