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There are hundreds of articles you can read on line about pricing, software, 3'rd party applications, platforms, etc. but no where will you find how broker dealer custodians terminate contracts.


Assisting the RIA in ways other advisors do not. Delving deep into the under belly of contracts and termination.

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Schwab's Termination Protocol

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Schwab starts the termination with a phone call from a corporate attorney.  Followed up by a fax perhaps an email.  The RIA is told the decision has been made, it is not negotiable, and irreversible.  Then the RIA is told letters will be going out to each and every one of the RIA's clients. I have attached sample letters to terminated advisors on this page.

View Supporting Court Documents

The selection of a broker dealer custodian for your investment advisor business is the single most important decision you will make.  You must know how each of the broker dealer custodians terminates contracts in the event they chose to do so.

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223 East Thousand Oaks Blvd Suite 215
Thousand Oaks, Ca. 91320


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