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TD Ameritrade Institutional empowers more than 7,000 independent registered investment advisors to transform the lives of their clients. It provides powerful technology and resources that help simplify running a business and let advisors spend more time doing what matters most — serving their clients. Through meaningful innovation, steadfast advocacy, and unwavering service, TD Ameritrade Institutional supports RIAs as they build businesses that positively impact their clients and communities.

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Custodians – (Established – $25B and Over)>Thought Leadership
RIA Advocacy: Helping Advisers Make Sense of Historic New Rules

In more than a decade of steadfast RIA advocacy, TD Ameritrade Institutional was seldom more active than in the past year. We again showed industry leadership as Washington delivered a series of new rules: the SEC’s Reg BI and first-ever interpretation of adviser standards; the SEC’s update of the 1961 Advertising Rule; and, from Congress, SECURE Act retirement-plan reforms and record-breaking CARES Act relief legislation. We responded by hosting a series of live, educational webcasts, published a guidebook to the SEC rules, and rallied RIAs to lobby Congress on a key tax provision. We stepped up to keep advisers informed on important developments, gathered the views and concerns of advisers, and used our bully pulpit to make their collective voice heard among policymakers.

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Custodians – Combined: Corporate Social Responsibility/Diversity
Generation Next: Addressing the RIA industry’s talent and diversity challenges
It’s no secret that the independent RIA / financial planning profession faces demographic challenges: the average age of advisors is in the mid-50s, women are under-represented in key leadership and revenue-producing roles, and only 3% of advisors are black or Latinx. Building on TD Ameritrade Institutional’s Generation Next initiative, through which encourage RIAs to hire more young professionals and pursue greater diversity, in 2019 launched a 360-degree research project focused on these issues. We surveyed more than 2,000 advisors, undergraduates, university administrators and prospective career-changers to find out how the RIA profession was perceived and how the industry could do a better job sourcing the next generation. The research also will help develop strategies for creating more opportunities for women and other under-represented groups.
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Custodians (Established – $25B and Over)>Practice Management
The 6 Dimensions of Standout Performance: How Top Advisory Firms Outpace the Industry

There is plenty research in the marketplace about “elite” advisory firms, that may help us understand what already large, successful firms are doing, but it offers limited insights for the many firms earlier in their development cycle. Advisory firms of all sizes need access to information and inspiration, specifically from their peers, to understand how to continue their firm’s journey successfully. This project, which produced two research papers, encompassed a deep-dive analysis of over 10 years of FA Insight’s industry data and consulting expertise to define the Dimensions of Standout Performance. We also explored the contributing factors within each dimension that, when combined, create the optimal conditions for scale, superior revenue growth and profitability that enable firms to stand out at any stage of development.

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Custodians (Established – $25B and Over)>Technology
Veo One Upgrade: Better, Stronger, Faster

It’s not easy to replace a legend, but Veo One represents a significant upgrade from the innovative and popular Veo Open Access. A next-generation custody platform, Veo One consolidates an advisor’s many technology tools into one fully-integrated, single-sign-on workspace. In the past year, we’ve added 11 deep Veo One integrations with third-party providers for a total of 35 (distinct from nearly 150 legacy-Veo integrations.) We’ve introduced several new features and functionality that deliver meaningful innovation and greater efficiency for advisors. We delivered numerous enhancements, including faster overall platform-performance; access to the AI-powered Virtual Agent for 24/7 service support; screen-sharing capabilities with clients, co-workers and our service teams; access to Lending Market Center’s menu of margin and collateral-backed loans; and fully digital new-account opening.

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Technology Providers: Model Marketplaces
Model Market Center Expansion and Enhancements

Model Market Center is an award-winning, digital supermarket for professional-grade investment portfolios. Launched in 2017, Model Market Center gives advisers access to models built by leading third-party money managers at no cost and without the drawbacks that can come with traditional investment outsourcing solutions. Through a seamless integration with iRebal, TD Ameritrade Institutional’s award-winning investment management platform, advisors can select, blend and customize models and then put them to work in client portfolios. In September 2019, we more than doubled the scope of Model Market Center by introducing dozens of models from independent investment strategists and on-boarding additional strategies and fund managers. We also enhanced the platform with the FinMason Model Impact Tool, which helps advisors analyze the potential impact of model strategies on portfolios.

Model Market Center
Enhancing your models and rebalancing strategy.
Veo One®
One platform for all the ways you run your business.
The Six Dimensions of Standout Performance
How the biggest and best advisory firms outpace the industry.

About the Initiative

Guided Income Solutions℠ (GIS) is a turnkey, bucketed investment solution designed to deliver steady and tailored cash flows to clients planning for retirement. The bucketed investing framework provides an intuitive approach to converting clients’ nest eggs into an automatic income replacement based on their personal financial goals; the buckets automatically rebalance to systematically reduce risk and accommodate investors’ needs. GIS provides an alternative to annuities; delivering an investment approach that is flexible, liquid, and cost-effective.

GIS aims to transform and enhance current retirement income solutions, to: