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 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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  • by Jon Patullo
  • Managing Director, Technology Product Management, TD Ameritrade Institutional

“Alexa, tell me about Veo One®”

Okay, so maybe the headline is a bit down the road. But as visitors to Veo Village at our National LINC Conference experienced first-hand, there’s a lot to be excited about when it comes to technology at TD Ameritrade Institutional.

© LILA PHOTO for TD Ameritrade

In fact, during his keynote session, Tim Hockey, our President and CEO, spoke of his commitment to continuing to deliver a superior client experience. To deliver on that promise, Tim noted, we’ll continue to invest heavily in technology. Already, this investment has enabled us to bring new and powerful technology features to advisors so they can improve efficiency, increase scale, and serve their clients even better.

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Looking for insights on developing NextGen talent, creating career paths for growth, and encouraging their success?

This Why and How to Develop NextGen Talent: An Adviser’s Guide White Paper provides actionable steps to help you develop the right talent and structure the right roles for their future success.