Custody Services

Choosing the Right Custodian

Folio is a trusted partner to hundreds of firms and thousands of advisors, providing secure asset custody fully integrated with online portfolio management, trading, tax lot management, performance reporting, and unique brokerage solutions.


We're dedicated to helping you grow your practice

Who are your clients? How are they doing business today? What is your vision for growth? We'll tailor our custodial and other services to support your business goals. Rely on your relationship manager for a smooth onboarding process and comprehensive support throughout.

Our technology does the heavy lifting

Take advantage of our integrated performance reporting, and powerful tax management and analytics tools. Quickly access everything you need from your own customizable advisor dashboard with more than 70 powerful widgets to help streamline your business.

Automate cumbersome processes like account opening and management. We also offer a secure client portal for statements, tax documents, proxy voting, and important notifications, reducing your workload.

You and your clients can pay less, and get more

Take advantage of our low-cost order execution or use commission-free window trading  available for both your individual security and your portfolio transaction needs.

Fewer service providers means less cost.

Ready to learn more about our fully integrated clearing, custody, and advisor services?

Request a Demo


Where possibilities become practice.TM



Window Trades

Folio Financial®'s patented window trading technology is our most cost-effective, time-saving way to place orders. Instead of trades being executed immediately, trades are grouped together and sent to the market for execution one or more times per trading day. After execution, securities are allocated to individual accounts, with every client receiving the identical execution price to assist with compliance and consistency.

Advantages of window trading with our asset-based fee program:

  • All clients on the same side of the market for a security (e.g., all buyers) receive the same execution price within the same window

How does window trading work?

Orders are collected throughout the day and held until the next window trade cutoff. Currently, there are two standard windows each business day (more can be provided on demand if needed) when U.S. securities markets are open—11:00 a.m. and 2:00 p.m. Eastern Time. Once the orders are collected, aggregated and other processing is complete, the aggregated order can be routed for execution. In some instances, we may fill all or part of the order ourselves, depending on the size of the order and other factors (e.g., regulatory or voluntary restrictions that prohibit us, but not you, from buying or selling a security). Orders placed after the last window of a business day are processed in the first window of the next trading day.

Direct Trades

With direct trades, you can place market, stop, limit, and stop-limit orders for your clients. We send direct trades to a market center for execution upon receipt. There is a small, separate commission for direct trades.

Security Exclusions and Filters

We make it easy to filter out investments in individual securities, sectors, or industries that you prefer to exclude from one or more client accounts.

Available Securities

Stocks, ETFs, and Mutual Funds

Buy and sell almost all of the more than 5,000 U.S.-listed stocks and ADRs, every stock-based and fixed income ETF (around 2,000), and over 4,000 closed-end and no-load open-end mutual funds and REITs.

Buy and sell securities in dollar amounts, share amounts, and fractional share amounts.

Trade commission-free in our windows ensuring all your clients on the same side of the market in the same security (e.g., all buyers) in the same window receive the same execution price

Enjoy the benefit of investing and trading to best satisfy your clients' needs, without the burden of considering commissions using window trades.

Buy and sell with market, limit, stop, and stop-limit orders for a small additional fee. Some securities, such as HOLDRs and certain preferred stocks, can only be traded with market, stop, limit, or stop-limit orders.

Exchange-Traded Managed Funds

Folio was the first broker-dealer to offer trading in NextSharesTM, a type of actively managed fund that trades throughout the day.

Note: We do not generally support the trading of over-the-counter (OTC), pink sheet, bulletin board, debt securities, or foreign ordinaries (ORDs). We do not support the trading of options.

Fixed Income

Investing in and trading fixed income securities is accommodated through a relationship with Kingdom Trust. We do not support fixed income trading directly on our platform. Through our relationship with Kingdom Trust, you can settle thousands of fixed income products with a maturity of one year or longer, including U.S. Government and agency securities, as well as corporate and municipal bonds.

Variable Annuity Services

We aggregate and report on variable annuity investments that are held away at Jefferson National Monument Advisor.

Margin Borrowing

For clients who qualify, Folio offers margin borrowing at competitive rates, enabling them to purchase additional eligible securities (including fractional shares of securities in a folio) without depositing additional funds, based on the securities they already have in an eligible account. By borrowing against those securities rather than selling them, you can help keep your clients’ investment strategies intact and delay capital gains (or losses) resulting from the sale of investments. It also keeps their assets invested with you. 

Cash Investments

Cash Sweep Program and Extended FDIC Insurance

All cash not invested in securities is automatically included in the Sweep Program and will either be swept into FDIC-insured banks participating in our Sweep Program or held by us and protected by SIPC-insurance.  We offer extended FDIC insurance (in the millions of dollars) for both principal and accrued interest for money held in the banks in our Sweep Program.

See current cash sweep interest rates, insurance limits, participating banks and other information.

Folio Client Portal

Your clients can login and view their account information using the secure and easy to use Folio Client Portal.  You control what information your clients see on the portal, and the actions they can take. The client portal can even be co-branded, if you desire.

Depending on the access settings you choose, clients can view their investment performance, access tax documents, sign online documents, transfer money, and vote their proxies. 

Client Data Feeds 

Folio partners with various service providers, including those listed below, and offers customizable data feeds. Daily files containing transactions, positions, and balances are generally available by 9 a.m. the next day.  If you would like to arrange for client data to be sent to one or more providers, or wish to have a new provider added, just ask us.

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