TD Ameritrade

401 (k) Retirement Plans (Service), Custodians (Practice Management), Technology Providers (Rebalancing)

TD Ameritrade Institutional provides comprehensive brokera ge and custody services to more than 5,000 fee-based, independent registered investment adviso rs (RIAs). Our advanced technology platform, coupled with personal support from our dedicat ed service teams, allows investment advisors to grow and manage their practices more efficiently and effectively while optimizing time with clients. We provide a robust offering of products, programs and services designed to help advisors build their businesses and do the best possible job they can to help their clients with their financial goals. TD Ameritrade is also a longtime advocate for advisors and their clients on important issues. We understand the importance of being a fiduciary and strive to support RIAs in their efforts to best serve their clients. For more information, pleas e visit


The TD Ameritrade Retirement Plan Playbook

Opportunity Knocks. We help RIAs Answer The $5 trillion 401(k) marketplace represents one of the biggest growth opportunities for RIAs, so we created the TD Ameritrade Retirement Plan (TDARP) to help advisors prospect, win and service retirement plans. (Reference: TDARP Brochure) Yet we found RIAs wanted more training and tools to help them build a successful retirement business. Our response: the Retirement Plan Playbook.


The Playbook is a suite of tools, step-by-step action items and best practices to help advisors build a serious retirement plan business, from structuring the practice and pursuing clients to servicing plans. Veteran industry consultant Bob Veres calls it, A resource that walks you through everything you need to know about the 401(k) business, but were afraid to ask.

Feedback and Results:

The Playbook has been a hit with advisors: more than 2,500 RIAs have used it and downloaded more than 9,300 documents and tools. (Video: )

The response has been overwhelmingly positive. I just wanted to say outstanding job. Rarely have I seen a comprehensive resource such as the Playbook, one that covers all the right topics in a clear and concise manner, said one TD Ameritrade client. More importantly, the Playbook is helping advisors gain traction in the marketplace. TDARP assets surged 97% over the past 18 months while new business proposal activity doubled year-over-year.

Ongoing Enhancements:
We continue to enhance and expand the Playbook. In 2016, we made 18 updates and added 14 new resources to the existing 34. In addition to the more than 50 free resources, we now make tools from fi360, PRI and other third-parties available at a discount. (Reference: Factsheet)

From Client to Advocate: Delivering Experiences Worth Sharing

Client Experience is Paramount

In today’s marketplace, new products and lower prices can be quickly matched, which is why 89%of businesses in a Gallup survey say they intend to compete on the basis of client experience. We agree: to achieve long-term growth, advisors need to deliver experiences so extraordinary that clients want to share them with family and friends.

Our latest practice management program, From Client to Advocate: Delivering Experiences WorthSharing, helps advisors re-think their approach to serving clients. (Reference: Whitepaper).

The program focuses on three areas: 1) Delivering a client-driven experience –We show advisors how to customize services and offerings based on client needs and preferences; 2) Building a client-centric culture –We emphasize the importance of empowering employees to exceed client expectations and recognizing their efforts; and 3) Engaging investors across generations – We encourage advisors to tailor their approach to attract a more diverse range of investors. (Reference: Overview):

This year, we partnered with The Ritz-Carlton, an authority on exceptional client experiences, to develop an innovative, thought-provoking program that challenges advisors to focus on what drives long-term customer engagement.Engagement Drives ResultsTo date, we have had more than 1,000 RIA firms engage in the Client Experience program, which over 12 months offers a range of opportunities to engage, including regional workshops, webcasts and one-on-one consulting.

(See Video: en_us/html/campaign-html/videoplay.html?vid_bps-client-experience)

We’ve long been committed to helping advisors build more profitable, scalable businesses and our practice management programs are generating tangible results. Advisors that participated in our 2015 programs generated a 17% higher rate of asset growth than their peers, and we expect a similar lift from our latest campaign.


iRebal, the most widely adopted trading and rebalancing tool for advisors, has redefined the category as it evolves to become a powerful trading engine with ever- expanding array of services. It ’ s also the leader in advisor satisfaction because it helps RIAs save time, deliver greater value and bring discipline to investing — all at no cost to TD Ameritrade clients.

iRebal received the highest average user ranking among 25 rebalancing tools in a recent T3/Inside Information survey. Adoption, mean while, has continued to soar: nearly 600 more firms were on -boarded to iRebal in the past year, while the ranks of advisors using iRebal have grown by more than 40% to 2,800. [Reference: Survey]

W e work closely with advisors to ensure they get the most out of iRebal, providing online training, guidebooks, consultations and help desk support that fuel greater adoption and satisfaction. [Reference video: https://irebal- x.jsp?#intro_id10 ]

New Enhancements Make iRebal More Than Just a Rebalancing Tool

iRebal empowers advisors to automate portfolio monitoring, proactively rebalance portfolios when they cross thresholds set by advisors and harvest tax-losses any time of the year for accounts of any size. It is also the only trading system that automates block trading and allocations. [Reference: User Guide]

We continue to find new ways to harness the power of iRebal. A new API lets consumer-facing roboadvisor solutions more easily integrate with iRebal’s trading engine, enabling RIAs to elevate the client technology experience as well as increase efficiency and profitability. [Reference: AdvisorSolutions]

W e also enhanced iRebal in March 2017, based on advisor feedback, to differentiate between Roth IRAs, tax-deferred accounts and taxable accounts, and to specify a Roth location preference.

Category Finalists

401 (k) Retirement Plans (Service)

Custodians (Practice Management)

Technology Providers (Rebalancing)