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Financial Advisor
November 2008 |
Advisor Emporium News and Products: Fee And Commission Platform Launches... IVA Creates New Funds... Fidelity Creates Charitable Pool... ICON Offers SMA Portfolios... NPH Offers Streamlined Advisor Platform... Guardian Adds Annuity Rider...   |
Financial Planning
November 1, 2010
Donald Jay Korn |
Separate Ways As fee-oriented investment management increasingly appeals to advisors and clients, fee-structured accounts are growing apace. Or not, depending on how the terms are defined. |
Investment Advisor
April 2006
Maya Ivanova |
Self Improvement In the recent supplement to the 2005 Rydex AdvisorBenchmarking Survey, many advisors recognize that simply maintaining the status quo is not enough. They're continuously examining their business plans and investment processes to look for improvements. |
Registered Rep.
August 26, 2011
Jerry Gleeson |
Schwab Apologizes Over Sales Pitch to Advisor Clients Schwab found itself apologizing for violating its own policy of pitching portfolio products to retirement plan sponsors who were clients of retail financial advisors and turnkey asset management programs that have custodial relations with the firm. |
Financial Advisor
September 2010 |
Advisor Emporium Advisor Emporium: Schwab Offers Integrated Technology Platform... National Planning Holdings Launches WealthOne... BlackRock Increases ETF Offerings... Goldman Sachs Adds Fund... more... |
Financial Advisor
November 2005
Tracey Longo |
All For Advisors Brokerage executives are doing their best to deliver the tools advisors need to move their business to the next level, while still remaining efficient. That includes streamlined technology, investment and rebalancing selections, outsourcing, practice management and business development assistance. |
Financial Planning
May 1, 2007
Donald Jay Korn |
The Right Package Fee-based asset management accounts have reached the trillion-dollar level. Some financial planners are finding new flexibility in these packaged deals. |
Financial Advisor
November 2006
LeBlanc & Brounes |
Embracing The Future Financial advisory affiliates Pershing and Lockwood get the thumbs-up for their vision, a smooth transition and high client satisfaction. |
Financial Advisor
February 2004
Sydney LeBlanc |
Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms. |
Financial Advisor
August 2004
Sydney LeBlanc |
Independent Broker-Dealers Improving SMA Programs Historically, independent advisors have been forced to sit on the sidelines while wirehouses led the way in products and technology for separately managed accounts. Increasingly, things seem to be changing. |
On Wall Street
September 1, 2010
Aarti N. Maharaj |
Five Questions With Amy Strong Joining Financial Research Corp. as a research analyst in 2007, she examines the state of the industry and marketing effectiveness. |
Investment Advisor
September 2005
Kathleen M. McBride |
But Are They a Good Deal? MFS asset allocation funds pass the three-year mark and get high ratings from S&P. |
Registered Rep.
June 1, 2005
Kristen French |
Fido Attacks! Long a distant second to Charles Schwab in the lucrative business of serving financial advisors, Fidelity is making an aggressive push to close that gap. And some advisors are taking notice. |
Investment Advisor
December 2005
James J. Green |
Talk to Chuck Schwab the company began as a transaction service, then moved into mutual funds, but Schwab the man believes his greatest legacy was his ability to democratize investing, and to support the notion that people could get their advice from someone who did not have a conflict of interest. |
Financial Advisor
July 2006 |
Advisor Emporium The Potomac Funds Changes "Direxion"... Fidelity Launches Value International Fund... Vanguard Offers New Retirement Funds... Support Platform For SMAs Introduced... etc. |
Financial Advisor
February 2005
Sydney LeBlanc |
The "Black Cat" Of Separately Managed Accounts Education can prevent or eliminate myths surrounding managed accounts and help clients take advantage of the benefits they afford. |
Financial Advisor
May 2011 |
Advisor Emporium Curian launches research portfolio... Investors Capital creates VIP desk... USAA expands mutual fund access... |
Financial Advisor
June 2007
Sherri Scordo |
Indepedent Broker-Dealers/Financial Advisor's 2007 Snapshot of Leading Firms Advantage Capital Corporation... AIG Financial Advisors... American General Securities, Inc... etc. |
Financial Advisor
June 2007 |
Advisor Emporium Financial Intermediary Web Site Launched... Rydex Launches High-Yield Funds... Pershing Becomes Bonds Market Maker... etc. |
Investment Advisor
April 2008 |
Upgrades The year-old Rydex Managed Futures Strategy Fund has attracted approximately $400 million in assets... Bear Stearns Asset Management launched the Bear Stearns Current Yield Fund... Sun Life Financial announced several new investment options... |
Financial Advisor
May 2012 |
Satisfaction A job satisfaction study by J.D. Power found that financial advisors' happiness with their work is most dependent on their firm's performance. |
On Wall Street
June 1, 2011
Carl Resnick |
ETFs: The Ideal Asset Allocation Tool? True diversification has become the primary focus of smart advisors. To the benefit of these advisors and their clients, a wide range of well-built exchange-traded funds has emerged to represent just about every asset class available. |
Investment Advisor
December 2007
Kathleen M. McBride |
Give, Wisely Led by the Fidelity, Vanguard, and Schwab juggernauts, donor advised funds are glowing and growing. Clients and advisors may find funding a DAF account easier than they realized. |
Registered Rep.
June 30, 2010
Jerry Gleeson |
New Technology Lets MetLife Love The Little Guy Six months after launching a platform that welcomes clients with as little as $10,000 to invest, the MetLife Broker-Dealer Group has accumulated $160 million in AUM on that platform. |
Financial Advisor
August 2, 2010 |
Advisor Emporium New Products: Fidelity Launches New Resource... Schwab Rolls Out Reporting Tool... Putnam Funds Top $2 Billion... New Investment Entity Created... MarketCounsel Creates Virtual Vault... Securities America Launches Tools... |
Financial Planning
October 1, 2006
Lee Chertavian |
Front and Center It may be better to centralize some unified managed account functions -- like overlay portfolio management -- than to farm them out to advisors. |
Financial Advisor
August 2006
Raymond Fazzi |
Custodians Duel Over New Services Competition in the fee-based advisory field and the pressure to grow assets and operations is not only forcing changes upon advisors, but also the custodians who serve them. |
Registered Rep.
August 1, 2004
Stan Luxenberg |
Nest Eggs in Multiple Baskets Increasingly, employers have begun offering life cycle funds, which include broad mixes of stocks and bonds. By picking one life cycle choice, an investor can hold a nicely diversified 401(k) portfolio. |
Investment Advisor
November 2006
Kathleen M. McBride |
Catching up with... Tom Ricketts Once, if an advisor wanted corporate bonds for a client there were three choices: buying them directly; in a unit trust; or a mutual fund. Is there an easier, more elegant way to invest in corporate fixed-income? |
Financial Advisor
June 2004 |
Principal Financial Adds Program For Business Owners Principal Simplified Overhead Expense (OE) and Principal Simplified Disability Buy-Out (DBO) are added to its disability insurance sales programs... Fidelity Expands Trust Services... ING Launches Program... etc. |
Financial Advisor
July 2004
Tracey Longo |
Clearing Firms Come Courting With clearing industry players so clearly targeting advisors, competition for advisor business is likely to get even more interesting very soon. |
Financial Planning
September 1, 2009
Donna Mitchell |
Roame on RIAs Conversations about change in the registered investment advisory space are constant these days, thanks to volatile markets, new products and demographic shifts. What sort of future will these changes create for the industry? |
Registered Rep.
March 23, 2015
Ryan W. Neal |
Schwab Reveals Intelligent Portfolios For Advisors Schwab is making the technology the backbone of an account management tool for registered investment advisors. |
Registered Rep.
April 1, 2005
John Churchill |
Aiming Downmarket Thanks to technological advances and the introduction of multimanager products (so-called multidiscipline accounts, or MDAs), advisors can now put clients into managed accounts with as little as $25,000. |
Financial Advisor
September 2008 |
Frontline News News of interest to the financial services industry: M&A Talks Hit Many Roadblocks... Ameriprise Buys H&R Block's Advisor Business... Morningstar Buys Developer Of dbCAMS+... Securities America To Buy Brecek & Young... etc. |
The Motley Fool
December 31, 2010
Dan Caplinger |
3 Steps to Start Off 2011 Right Check this resolution off your list right now. |
Financial Advisor
January 2006
Sydney LeBlanc |
Embracing The F Word US Fiduciary offers a business model that is attracting ultra-high-end advisors who want to be fiduciaries. |
Registered Rep.
June 1, 2006
Kevin Burke |
Schwab's Secret Success With more and more brokers going independent these days and open architecture on the rise, Schwab may very well bridge the gap between industry behemoths like Vanguard and Fidelity sooner than you think. |
Investment Advisor
October 2006
Black & Bakker |
Life Support A reader survey suggests how asset managers can be true partners with investment advisors. |
Financial Planning
July 1, 2007 |
New Products Alternatives: State Street Global Advisors has launched five fixed-income SPDR ETFs... Unit investment trust based on the KLD Global Climate Change 100 Index... etc. |
Registered Rep.
March 31, 2015
Diana Britton |
The Rare Prop Product In REP.'s fifth annual Independent Broker/Dealer Report Card, only 19 percent of 2,058 advisors surveyed said they sell in-house or proprietary products. |
Financial Planning
February 1, 2007
Elizabeth O'Brien |
Cover Me Health insurance options slowly expand for independent advisors. |
Financial Planning
March 1, 2010
Donna Mitchell |
Open Season NFP Securities says it will become the first independent broker-dealer to offer hybrid advisors a single platform with complete open architecture, empowering advisors to ally with any major custodian they choose. |
Financial Planning
June 1, 2008
Savage & Lowenstein |
Semicustom Solutions Managing client accounts based on model portfolios and harnessing technology to implement investment strategy efficiently and consistently at the client portfolio level. |
Registered Rep.
May 1, 2007 |
The Great Reckoning Whatever the specific business impact the Merrill Lynch ruling may have, many see the return to pre-1999 rules as a chance for the brokerage industry, which has long avoided fiduciary duty for business and regulatory reasons, to overcome those obstacles and embrace it. |
Financial Planning
May 1, 2007
Elizabeth O'brien |
Snagging Breakaways Schwab Institutional and Cambridge Investment Research have joined forces to attract financial advisors turning independent. But just how big is the prize? |
Investment Advisor
April 2009
Bob Clark |
Clark at Large: Timing Is Everything Now that (nearly) all asset classes have sunk, advisors are rethinking their investment strategies. |
Registered Rep.
January 1, 2003
Pam Black |
A Separate Reality The separately managed account revolution might well be sweeping the financial services industry. That transformation, while still somewhat slow, is inexorable, but also incomplete. So far, for the most part, SMAs aren't being used correctly. |
Financial Advisor
March 2006
Marla Brill |
Courting A New Crowd Rydex Investments hopes to move beyond market timers to mainstream financial advisors. |
Financial Advisor
June 2009
Marla Brill |
ETF Portfolios To Go ETF portfolio management services pitch to financial advisors. |
