TD AMERITRADE - News Release Library

JERSEY CITY, N.J., Feb 04, 2010 (BUSINESS WIRE) -- TD AMERITRADE Institutional, a division of TD AMERITRADE, Inc., has introduced key initiatives designed to help independent registered investment advisors (RIAs) take advantage of opportunities to grow their businesses and better serve their clients. TD AMERITRADE Institutional is focused on: delivering unparalleled practice management support, providing advisors with a superior client service experience, expanding business growth and educational opportunities and offering advanced portfolio management strategies to help advisors remain competitive.

"Major market shifts over the last 18 months have caused independent advisors to refocus on key practice management issues to drive efficiencies in their operations and prepare their firms for growth," said Tom Bradley, president, TD AMERITRADE Institutional. "As RIAs continue to evolve and emerge as the financial advice model of the future, TD AMERITRADE Institutional is leading the effort to help advisors streamline and grow their businesses by delivering a new breed of practice management tools, resources and expertise at this critical juncture."

KEY INITIATIVE: Deliver Unparalleled Practice Management Support

Leading the list of enhancements is the launch of Maximize My Business, a customizable and completely redesigned practice management program for RIAs. The new Maximize My Business program is built on the success of TD AMERITRADE Institutional's existing practice management offering, led by the Roadmap(TM) business consulting tool¹. Results show 60 percent of firms achieved business growth in the first six months of putting a Roadmap plan in place. Advisors who participated roughly tripled the number of new accounts and added five times the amount of assets compared to the six months prior to implementation.

Working directly with advisors to identify their key business operations, strategy and planning needs, the new practice management framework is redesigned to support seven essential business needs:

• Marketing and Business Development
• Business Operations
• Client Service
• Risk Management
• Practice Equity and Planning
• Educational Resources
• Human Capital Management

This new needs-based approach provides independent advisors with a comprehensive and tailored set of tools to meet their business challenges. Unlike other practice management programs that rely on static web-based information, Maximize My Business combines a consultative approach with interactive tools, industry analysis and business intelligence. Advisors can engage practice management support through a variety of channels, such as in-person consultations, webcasts, conferences, guidebooks and educational white papers.

"We've taken what we have learned from thousands of advisor interactions and developed a comprehensive set of practice management tools to meet a variety of advisor needs from starting a business to succession planning," said Bradley. "Working through our experienced business consultants, we can help advisors grow and run more efficient businesses."

KEY INITIATIVE: Provide Advisors a Superior Client Service Experience

Service Scorecard

In an effort to deliver a higher level of performance reporting and transparency, TD AMERITRADE Institutional will introduce service scorecards. The scorecard reporting system provides independent advisors with a clear view of the level and quality of service they receive from TD AMERITRADE Institutional. The scorecards were developed to measure how well TD AMERITRADE Institutional services individual advisors in the areas of account maintenance, call times and account opening metrics.

"We share a common goal with advisors - to provide the best service to our clients," said John Tovar, managing director of brokerage services, TD AMERITRADE Institutional. "Providing a scorecard encourages a new level of transparency and creates another communication channel to foster more collaboration, ultimately leading to better service for advisors and their clients."

KEY INITIATIVE: Deliver New Business Growth Opportunities for Advisors

Infinata¹, a third-party provider, operates a database of 2.5 million high net worth individuals which can help advisors generate referral opportunities, and is offered exclusively and at no cost to independent advisors on the TD AMERITRADE Institutional platform, a $10,000 value. Net new assets were up 103 percent in Q1 2010 over Q1 2009 among the first 900 firms to access Infinata.

401(k) Plan Solutions for Advisors

The 401(k) market offers a new opportunity for independent advisors to gather assets and boost revenues. 401(k) plan solutions are now available to advisors through TD AMERITRADE Institutional. Advisors have an opportunity to tap into the $2.6 trillion 401(k) market - and its $250 billion per year in new contributions - with plan advice and managed plan-level portfolios to handle self-directed brokerage accounts for participants. Through the 401(k) market, advisors are also positioned to work with the business executives and to potentially capture IRA rollover dollars.

Mergers and Acquisition Support

TD AMERITRADE Advisorlink^{SM 1} is a powerful resource developed in conjunction with a third-party investment bank to refer and match advisors looking to develop a succession plan, join an existing RIA and expand their business through mergers and acquisitions. Participating firms are experiencing early success; more than 50 transactions are currently being executed, representing nearly $2 billion in asset opportunity for firms looking to grow their business. TD AMERITRADE Advisorlink participants now have access to more than 100,000 RIA contacts through the RIA Database prospecting tool, a $15,000 value free to advisors on the TD AMERITRADE Institutional platform.

KEY INITIATIVE: Increase Access to Advisor Education

Advisor Peer Groups

Through organized peer groups, including the Advisor Transition Mentor Council, Advisor Panel and Operations Panel, independent advisors gain valuable insights and best practices to meet everyday business challenges.

Professional Development Events

TD AMERITRADE Institutional plans to host and participate in more than 50 industry events in 2010, including premier professional development conferences such as TD AMERITRADE Institutional's National Conference, Signature Series and Elite Advisor Conference. Through live events and online training sessions, independent advisors can access industry professionals, powerful tools, valuable information and opportunities to network with their peers.

Knowledge Library

Advisors will soon have access to an online knowledge library of educational material, including white papers, guidebooks, industry research, surveys and TD AMERITRADE Institutional's Advisor Solutions magazine. The knowledge library will provide independent advisors industry information and insights to apply in their daily business management.

KEY INITIATIVE: Provide Advisors Advanced Portfolio Strategies

Options Overlay Strategies

An options overlay product is being developed for release to independent advisors in 2010. Its Web site will allow an advisor to import a portfolio, input parameters and information about the desired portfolio enhancement and have an options overlay strategy automatically generated and executed against the portfolio.²

Unified Managed Accounts

Unified Managed Accounts³ allow an advisor to offer Separately Managed Account (SMA) strategies, mutual funds and exchange traded funds (ETFs) in one client registration, while offering increased efficiency, customization and tax management. With traditional SMA programs, clients have several separate accounts leading to multiple custodial and performance statements as well as multiple year-end tax reports, while advisors have the chore of managing cash deposits and withdrawals from several different strategies which could lead to errors. UMAs consolidate all of this activity for the client and advisor. Overlay portfolio management makes this all possible.

Additional Featured Resources:

Veo^(R) Technology Platform

The newly enhanced Veo advisor technology platform was designed by advisors for advisors. Redesigned in 2009, Veo combines the best features of legacy technology platforms to provide advisors with one superior technology experience. One integrated advisor platform allows TD AMERITRADE Institutional the ability to provide better service and develop new products more efficiently.

AdvisorDirect(TM)

Through TD AMERITRADE Institutional's AdvisorDirect(TM) program⁴, qualified advisors can access leads from a network of over 100 TD AMERITRADE branches. AdvisorDirect(TM) is part of TD AMERITRADE's strategy to serve individual investors who want financial planning and wealth management services rather than a self-directed experience.

Solutions Consultants

These dedicated and focused professionals understand an advisor's business and can deliver personalized solutions to meet the unique needs and goals of RIAs. Combining innovative thinking and industry experience, TD AMERITRADE Institutional's Solutions Consultants help advisors create action plans designed to move their businesses forward.

Third-Party Service Providers

TD AMERITRADE Institutional Affinity Services program⁵ offers advisors access to over 70 renowned third-party service providers,* many of whom have agreed to provide their services at a discount to advisors who work with TD AMERITRADE Institutional.

Advisors interested in learning more about the new Maximize My Business practice management program and other valuable resources can visit maximizemyriabusiness.com or call a sales professional at 800-934-6124.

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About TD AMERITRADE Institutional

TD AMERITRADE Institutional is a leading provider of comprehensive brokerage and custody services to over 4,000 fee-based, independent Registered Investment Advisors and their clients.¹ 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. Please visit www.tdainstitutional.com.

About TD AMERITRADE Holding Corporation

TD AMERITRADE Holding Corporation (NASDAQ:AMTD), through its brokerage subsidiaries,² combines innovative trading technology, easy-to-use and understand trading tools, investment services, investor education and superior client service to create a market-leading financial services experience. Now home to the award-winning thinkorswim brokerage and dynamic trading platform³ and the Investools investor education program, TD AMERITRADE provides millions of retail investors, traders and independent registered investment advisors with the tools, service and support they need to help build confidence in today's rapidly-changing market environment. For more information and resources for journalists, please visit the TD AMERITRADE newsroom at www.amtd.com.

¹Access to the TD AMERITRADE Roadmap, Infinata and TD AMERITRADE AdvisorLink programs 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 and participating third-party companies are separate and unaffiliated and are not responsible for one another's policies and services. TD AMERITRADE does not guarantee nor are they 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 AMERITRADE.

²Options are not suitable for all investors as the special risks inherent to options trading may expose investors to potentially rapid and substantial losses. Please read Characteristics and Risks of Standardized Options before investing in options.

³Access to the UMA program is provided solely as a service to financial advisors using the brokerage, execution and custody services of TD AMERITRADE Institutional. Participating investment managers are independent and are not employees or agents of TD AMERITRADE. TD AMERITRADE does not guarantee nor is responsible for the quality or accuracy of any investment manager's product or service. In no instance should the listing of an investment manager be construed as a recommendation or endorsement by TD AMERITRADE. Please contact the investment manager directly for the most recent information pertaining to their investment styles and management fees.

⁴Potential AdvisorDirect clients should typically have at least $200,000 in assets to invest. Some RIAs have higher or lower minimum asset requirements. There is no charge or obligation to the client for the initial consultation with the RIA. Once the client selects an RIA, the client will pay advisory fees and standard brokerage fees. Brokerage transactions executed through TD AMERITRADE are subject to standard transaction charges. The client should review an RIA's Form ADV, other applicable advisor disclosure document(s) and the AdvisorDirect Disclosure and Acknowledgement Document prior to engaging an RIA. The Form ADV contains important disclosure information relative to an RIA's services and fees. RIAs charge an ongoing investment advisory fee to the client for their services. RIAs will pay TD AMERITRADE fees for their participation in the AdvisorDirect program. Those fees will usually constitute a percentage of the advisory fees the client will pay his/her RIA. For additional details about the fees paid to TD AMERITRADE and other conflicts of interest, please review the AdvisorDirect Disclosure and Acknowledgement Document and the client should ask his/her RIA about its specific arrangement with TD AMERITRADE. Please note: Under no circumstances should participation by a certain RIA in AdvisorDirect be considered an endorsement or recommendation by TD AMERITRADE for that particular RIA.

⁵Access to Affinity Services Program vendors is provided solely as a service to financial advisors using the brokerage, execution and custody services of TD AMERITRADE Institutional. These services are offered at a discount directly through the participating vendors. Participating vendors are independent and are not employees or agents of TD AMERITRADE. TD AMERITRADE does not guarantee nor are they responsible for the quality or accuracy of any vendor's product or service. In no instance should the listing of a vendor be construed as a recommendation or endorsement by TD AMERITRADE. Furthermore, TD AMERITRADE does not recommend or endorse any security described by any vendor.

¹ TD AMERITRADE Institutional, Division of TD AMERITRADE, Inc., member FINRA (www.finra.org) / SIPC (www.sipc.org).

² TD AMERITRADE, Inc., member FINRA (www.finra.org) /SIPC (www.sipc.org), TD AMERITRADE Clearing, Inc., member FINRA/SIPC, and thinkorswim, Inc., member FINRA (www.finra.org)/SIPC (www.sipc.org)/NFA (www.nfa.futures.org).

³ thinkorswim was rated #1 overall online broker, "best for frequent traders," and "best for options traders" in Barron's ranking of online brokers, 3/16/2009. thinkorswim was evaluated versus others in eight total categories, including trade experience/execution, trading technology, usability, range of offerings, research amenities, portfolio analysis & reporting, customer service & access and costs. thinkorswim topped the list in 2009 with the highest weighted-average score.
Barron's is a registered trademark of Dow Jones & Company ©2009.

SOURCE: TD AMERITRADE

TD AMERITRADE
Kristin Petrick, 402-574-6569
Communications and Public Affairs
kristin.petrick@tdameritrade.com

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