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 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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  • by Ben Welch
  • Managing Director of Advisor Business Development and iRebal, TD Ameritrade Institutional

How to Compete in the Robo-race

Ben Welch, Managing Director of Advisor Business Development and iRebal, TD Ameritrade Institutional

Ben Welch, Managing Director of Advisor Business Development and iRebal, TD Ameritrade Institutional

“As Managing Director of Advisor Business Development and iRebal® (the portfolio rebalancing tool available through TD Ameritrade Institutional), I work with a team continuously striving to develop new technology and programs to help advisors streamline their operations, provide better client service, and grow their businesses.”

Consider this situation: A client’s family radically changes overnight.

A spouse dies (or leaves), a child is born with special needs, a family business is sold, or an elderly parent requires full-time care. These situations are very real.

As advisors, you may be among the first calls a client makes when there is a seismic shift in a personal situation that will impact family finances. It is the relationship you have built that puts you at the top of a client’s call list, and it is likely the expert advice and guidance you bring at the most critical points in their lives that keeps you there.

The genre of automated financial advice offerings have a place. Yet, the human element you bring as advisors who can pick up the phone and listen empathetically when a client calls cannot be replicated by technology.

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