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: Fathers, Front & Center

It’s June—time to think about dads and grads again. As someone who is passionate about growing the number of women and other under-represented groups in the ranks of financial planners, it’s no surprise I often direct my advice and encouragement to women.

Not today. Today, I’m talking to you: dad, father figure, godfather, uncle…any man who has a female in his life who looks up to him. This is for you.

kate-date-blog-final

Kate Healy and her father, Jack Healy, on Hawk Mountain while hiking the Appalachian Trail.

 

I come from a big Irish Catholic family. My father grew up in a time of traditional mindsets about gender roles. But since his father died when he was young, my dad had many strong females in his life—his mother, his grandmother, and his two sisters. So when it came to his four daughters, he made sure we knew we could be whoever we wanted to be. No limitations. (Especially me, because I was his favorite!) He was a wonderful man in so many ways, and I thank him for teaching me this all-important life lesson.

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

Advocating for You: DOL Fiduciary Rule to Take Effect June 9

Skip Schweiss, Managing Director, Advisor Advocacy & Industry Affairs, TD Ameritrade Institutional

Skip Schweiss, Managing Director, Advisor Advocacy & Industry Affairs, TD Ameritrade Institutional

On Tuesday, Department of Labor Secretary Alexander Acosta published a commentary piece in the Wall Street Journal, titled, “Deregulators Must Follow the Law, So Regulators Will Too”. In it, he announced that the “applicability date” (i.e. compliance date) for the DOL’s fiduciary rule will hold on June 9th.

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  • by Justin Di Filippo
  • Director, iRebal Product Management, TD Ameritrade Institutional

Creating Tomorrow’s Experience by Evolving Today’s Processes

It’s not uncommon for a firm to put the advisor at the core of its portfolio management and investment operations processes in a decentralized, autonomous role. Often, advisors start as the primary stakeholders for client relationships. This includes knowing all the particulars of the client’s situation, and taking responsibility for investment selection and timing of trading decisions.

As your RIA practice continues to grow, challenges will arise with this structure that may be difficult to overcome –lack of recordkeeping across advisors could increase compliance risk. Clients could perceive their relationship to be with their advisor and not with your firm–potentially eroding your firm’s enterprise value.

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