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

A New Approach to Elevating Broker Standards

Though RIAs and their advocates have for years pounded the table urging regulators to enact a uniform fiduciary standard for both brokers and investment advisors, industry thought leaders at a recent TD Ameritrade Institutional forum considered a new message: Be careful what you wish for.

Recently, we convened our fourth Advocacy Leadership Summit in Washington, with dozens of industry thought leaders engaged in a roll-up-your-sleeves discussion about the best way forward on regulations. We were fortunate to hear from Rick Fleming, the head of the SEC’s Office of the Investor Advocate, who expressed some concern that any harmonization of standards between brokers and advisors would lead to lower, watered-down RIA standards.

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Just Another Industry Buzzword or an Act to Be Proud Of? You Be the Judge.

What happens when you hear phrases like ‘think outside the box’ or ‘core competency’? If you’re like me, you might cringe. And it’s not even as much about word choice as it is about ambiguity.

We know the financial services industry can be complex by nature. But the way we talk about it doesn’t have to be. Take advocacy for example. You hear it all the time, but what does it mean?

It means we’ve got your back.

Tom Nally at the fourth annual TD Ameritrade Institutional Advocacy Leadership Summit in Washington D.C.

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  • by Kate Healy
  • Managing Director, Generation Next, TD Ameritrade Institutional

The Average Advisor Age Nudges Lower

At TD Ameritrade Institutional, we are thrilled to share that our own “AdvoKate” was recently recognized as one of Wealth Management’s “10 to Watch”—its annual list of 10 individuals poised to make a big difference in the wealth management industry in the year ahead. We agree! And we are excited to see Kate Healy continue her tireless work in support of NextGen talent.

The 2017 FA Insight Study of Advisory Firms: People & Pay,  an industry benchmarking report from TD Ameritrade Institutional, recently revealed some news that made me do a little happy dance: Since 2015, the median age of lead advisors has slipped by three years, to 47—a clear sign that the profession is heading in the right direction.

Though there is still a lot of work ahead to keep up this momentum, we deserve to take a minute and relish the fact that our message is getting through, and the dial is finally moving after years of not budging.

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