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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