TD Ameritrade Institutional's RIAConnect™ Brings Like-minded Advisors Together to Explore Business Growth Opportunities

  TD Ameritrade Institutional's RIAConnect™ Brings Like-minded Advisors
  Together to Explore Business Growth Opportunities

Matching program aims to align advisors with compatible firms for affiliation
                                or acquisition

Business Wire

JERSEY CITY, N.J. -- September 27, 2012

TD Ameritrade Institutional^1 ^ takes advisor matchmaking to a new level with
RIAConnect. For independent registered investment advisors (RIAs) and those
who want to become one, RIAConnect can be a catalyst to help them pursue a
wide range of business goals. Whether an advisor wants to join an existing RIA
firm, achieve scale through strategic relationships or secure a succession
plan, they will be introduced to established RIA firms with proven
capabilities to support their objectives.

Ben Welch, director, advisor business development, TD Ameritrade Institutional
(Photo: TD Ameritrade ...

Ben Welch, director, advisor business development, TD Ameritrade Institutional
(Photo: TD Ameritrade)

“As breakaway brokers continue to seek the benefits of the independent RIA
model and a large number of RIAs near retirement, we’re seeing unprecedented
opportunities to create mutually beneficial relationships between advisors,”
said Ben Welch, director, advisor business development, TD Ameritrade
Institutional. “RIAConnect meets the increasing demand for a more effective
way to connect firms and helps support advisor growth potential.”

RIAConnect addresses a variety of situations and opportunities including:

Seeking Scale

  *Advisory firms that want to merge or integrate with a larger RIA firm in
    order to bring together complementary business capabilities and gain


  *Advisors who are interested in selling their business to a third party
    because of retirement or to create a full or partial liquidity event.

Joining an Established RIA Firm

  *Breakaway brokers looking to achieve independence, with the benefits of
    joining an established RIA firm with existing infrastructure and support.

Keeping Commission-Based Business

  *Advisors who want to pursue the benefits of the RIA model to have more
    control over how they manage client assets and keep more of what they
    earn, but require an existing broker-dealer relationship to handle their
    commission business.

RIAConnect is designed to take the guesswork out of finding the right fit.
Advisors will be introduced to firms that have been carefully vetted using a
proprietary selection process. Each firm must meet rigorous standards,
including a competitive compensation model, proven advisor transition
capabilities, an excellent technology platform and operations support and
strong compliance systems.

To learn more, advisors can contact 1-800-444-6100 or visit

Access to the TD Ameritrade Institutional RIAConnectTM program is provided by
TD Ameritrade Institutional as a service to financial advisors using the
brokerage, execution and custody services of TD Ameritrade Institutional. TD
Ameritrade does not guarantee nor is it responsible for the completeness or
accuracy of the data provided or for the quality of any product or service. TD
Ameritrade makes no warranty or representation with respect to the service as
to suitability or fitness for a particular purpose. In no instance should the
listing of a third-party be construed as a recommendation or endorsement by TD

About TD Ameritrade Institutional

TD Ameritrade Institutional^1 is a leading provider of comprehensive brokerage
and custody services to over 4,000 fee-based, independent registered
investment advisors and their clients. Our advanced technology platform,
coupled with personal support from our dedicated service teams, allows
investment advisors to run their practices more efficiently and effectively
while optimizing time with clients.

About TD Ameritrade Holding Corporation

Millions of investors and independent registered investment advisors (RIAs)
have turned to TD Ameritrade’s (NYSE: AMTD) technology, people and education
to help make investing and trading easier to understand and do. Online or over
the phone. In a branch or with an independent RIA. First-timer or
sophisticated trader. Our clients want to take control, and we help them
decide how - bringing Wall Street to Main Street for more than 36 years. An
official sponsor of the 2012 U.S. Olympic Team, TD Ameritrade has time and
again been recognized as a leader in investment services. Please visit TD
Ameritrade’s newsroom or for more information.

Brokerage services provided by TDAmeritrade, Inc., member FINRA
( /SIPC ( /NFA (

^1TD Ameritrade Institutional is a division of TD Ameritrade, Inc., a
brokerage subsidiary of TD Ameritrade Holding Corporation.

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TD Ameritrade Holding Corporation
Kristin Petrick, 402-574-6569
Communications & Public Affairs
Mobile: 402-218-9813
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