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Financial Planning June 1, 2005 Black & Liptow	FP50: The Rising Tide Among the 50 largest independent financial advisory firms--this year's FP50--revenues and assets under management were up, and losses were down. The leaders are holding their top slots, while many newbies are growing at a dramatic clip.
Financial Advisor January 2004 Tracey Longo	Reversal Of Fortune Independent brokerage firms experienced a turnaround in 2003.
Financial Planning June 1, 2009 Paul Menchaca	Oh, the Drama The broker-dealers who spoke to Financial Planning in this year's annual survey are busy negotiating the downturn by improving their infrastructure, expanding through recruitment and eyeing an economic rebound.
Financial Planning June 1, 2008 Philip Palaveev	Be Careful What You Wish For Understanding the advisor and independent broker-dealer relationship.
Financial Planning June 1, 2007 Elizabeth O'Brien	FP50: Small Wonders Smaller broker-dealers vow to retain their personalized service as they pursue ambitious goals.
Investment Advisor June 1, 2011 John Sullivan	2011 Broker-Dealer Presidents' Poll--Slideshow Broker-dealer recruiting expert Jon Henschen talks about the state of the industry, what it means for reps and what it means for clients.
Financial Planning June 1, 2007 Marshall Eckblad	FP50: Behind the Numbers Revenues among the top 50 broker-dealers soared, costs fell and reps took home more money than ever. But the biggest winners in this year's survey were fee-based products.
Financial Planning June 1, 2010 Paul Menchaca	Survivor Island Firms that endured the worst of the financial crisis and lived to tell about it.
Financial Advisor August 2004 Tracey Longo	All Aboard Planners and advisors continue to switch independent broker-dealers.
Investment Advisor May 1, 2011 John Sullivan	Catching up with... Joe Richard "The difference is we're smaller," says Joe Richard, when asked what, specifically, Wall Street Financial Group does better than anyone else.
Financial Planning June 1, 2006 Eckblad & Black	FP50: Behind the Numbers Broker-dealers are reporting healthy growth -- especially in fee revenue.
Investment Advisor September 2007 Kathleen M. McBride	Around the Table The leaders of the 2007 Broker/Dealers of the Year speak frankly about their challenges and opportunities.
Registered Rep. September 1, 2004 Will Leitch	For Advisors, 2003 Was a Better Year The fortunes of advisors took a turn for the better in 2003, according to the annual report from the Securities Industry Association.
Financial Advisor June 2006 Tracey Longo	Is Any Stone Unturned? Is the NASD's regulatory clampdown over? Major changes are in place at the sales force level.
Registered Rep. April 1, 2009 Halah Touryalai	No Buyers--Still--For AIG-owned B/Ds AIG announced its plan to sell its independent broker/dealers back around October 2008. Six months later, nothing has changed except that reps we spoke to are even more frustrated. Some say they are ready to bolt.
Financial Advisor June 2005 Raymond Fazzi	Regulatory Challenges Top Broker-Dealer Agenda Rarely has the potential of the financial advisory business, with a huge demographic wave of baby boomers approaching retirement, looked brighter. But never has the regulatory climate been more challenging.
Financial Planning June 1, 2005 Juliette Fairley	FP50: Angst Over Compliance As financial advisory firms struggle to manage a raft of new regulations, they are banding together to rein in the rule-makers.
Investment Advisor September 2008 James J. Green	You're the Tops In a comprehensive face-to-face discussion, the leaders of the Broker/Dealers of the Year explain their firms' unique charisma and how they plan to remain at the summit of their professions.
Registered Rep. December 11, 2003 David A. Gaffen	Smith Barney Changes Payout Grid Smith Barney is altering its compensation system for 2004, with the main goal being to simplify its payouts and make them more product-neutral.
Investment Advisor January 2006 Kathleen M. McBride	Balancing Act The broker/dealer model is changing, spurred by business and regulatory pressures, and reps may stop talking to their clients.
Financial Advisor June 2009 Jeff Schlegel	Money In Motion The economic crisis has wreaked havoc on wirehouses, and more advisors are looking for new opportunities.
Investment Advisor April 1, 2011 Jonathan Henschen	Making the Case for Midsized Broker-Dealers Between financial viability and less cumbersome compliance burdens, midsized BDs have a lot going for them
Registered Rep. January 1, 2006 Halah Touryalai	The Winner's Curse Many advisors independent b/ds recruit have now unrealistic expectations: They want full technical and marketing support, as well as help understanding products and asset managers.
Financial Planning June 1, 2006 Joan Warner	FP50: Where the Growth Is With their market share growing 20% a year and the boomer generation's accumulated treasure to deploy, independent broker-dealers are on a prosperous path.
Registered Rep. May 21, 2008	Indie B/Ds Inching Forward With Regulators The independent broker/dealer channel is still fighting a decades-old battle: the challenges of compliance for independent firms.
Financial Planning July 1, 2006 David J. Drucker	Fee-Based Confusion Cambridge, Commonwealth and Securities America aren't your father's broker-dealers. Although they count reps of all compensation stripes within their ranks, they're clearly leading the new generation to a more professional business model.
Financial Planning June 1, 2009	The Biggest, Fastest-Growing Independent Broker-Dealers 2009 Despite the dramas, the scandals, the shocking losses of the past year, the independent world continues to grow. Read on, and find out how broker-dealers are really faring in these challenging times.
Financial Planning June 1, 2008 Stacy Shultz	Lookin' Good, Broker Dealers As baby boomers approach retirement, some believe there could be no better time to be in the financial services industry.
Financial Planning June 1, 2008	FP 50: Survey Results, 2008 The biggest & fastest growing independent broker-dealers in 2008.
Registered Rep. January 1, 2005 David Gaffen	The Broker and Brand X Syndrome The commoditization of the brokerage industry might be easier for individual reps to deal with, were they not under such intense pressure in virtually every other aspect of their professional lives.
Financial Advisor January 2006 Tracey Longo	Working Smarter, Not Harder As more independent broker-dealers set themselves up as strategic outsourcing partners, they are finding bigger and better firms driven to their door by stagnant or shrinking profit margins and the accelerating compliance melee.
Financial Advisor March 2012 Eric Rasmussen	Swimming In Shallow Water Broker-dealers face a stagnant rep pool, shrinking margins and the choke hold of regulators. But it's been a boon to the biggest consolidators.
Financial Planning June 1, 2010 Paul Menchaca	Tale of a Tough Year What the numbers show: a dramatic seven-month stock market rally was not enough to help most of the top 50 broker-dealers counter the aftershocks of the financial crisis.
Financial Planning June 1, 2007 Donald Jay Korn	FP50: Pressure Points It's a great time to be in financial services. But broker-dealers' challenges are growing as fast as their opportunities.
Financial Planning June 1, 2011 Donald Jay Korn	FP 50: Revenue Rising The money stream is flowing again: After two years of stagnant or, worse, shrinking revenue, the 50 largest independent broker-dealers report their annual revenues rebounded last year - significantly in many cases.
Investment Advisor September 2005 Andrew Gluck	The Gluck Report, Part II: Broker/Dealer Tech Report How broker/dealer Portfolios Financial Services uses technology to maximize business.
Financial Advisor June 2004 Tracey Longo	Compliance Overload A white-hot regulatory agenda is bedeviling independent broker-dealers in the U.S.
Financial Planning June 1, 2005 Robert Hertzberg	FP50: The Profit Dilemma Independent broker-dealers get by on notoriously thin margins--but an examination makes it clear that 2004 was the best year in a while.
Financial Advisor April 2004	Royal Alliance Ups Ante For OSJs Advisor Group Says Come One, Come All... Securities America Tests New Transition Options... Award Established To Honor Viragh... etc.
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.
Financial Planning May 1, 2005 Juliette Fairley	Building a Better Platform ING advances the ball on integrated systems to help advisers and supervisors.
Registered Rep. October 1, 2005 Matt Barthel	Insurance and the Generation Gap Reps historically have been reluctant to sell life insurance because of the steep learning curve associated with the products, and there is evidence that many still are hesitant to put forth the effort necessary to grasp the products' nuances.
Financial Planning May 1, 2008 Elizabeth O'Brien	Regulatory Tussle Independent broker-dealers and the Securities and Exchange Commission have found themselves in a tug-of-war over how best to serve clients when registered representatives depart one firm for another.
Registered Rep. August 1, 2005 Janet Arrowood	The Great Insurance Race Given all the benefits that insurance can deliver to both registered reps and clients, an increasing number of reps are deciding it's worth the effort.
Financial Planning June 1, 2010 Jeanne Lee	Under Pressure Last month AFA Financial followed GunnAllen in shuttering its doors. Will more small independents close?
Financial Planning August 1, 2007 Marshall Eckblad	5 Questions With the SEC's Merrill Rule gone, Brian Corkery and Scott Donnelly of asset manager FundQuest help broker-dealers make fee-based accounts compliant.
Financial Advisor January 2007 Tracey Longo	Allure Of Independence Remains Bright Independent broker-dealers step up their recruiting efforts among reps and the already liberated.
Financial Planning October 1, 2010 James E. Warren Jr.	Beyond the Payout Eight critical points that every financial advisor contemplating a change of affiliation should consider.
Investment Advisor September 2005	Fantastic 5 This year's winning broker/dealers of the year reveal some of the machinery behind the success: Division I -- Geneos Wealth Management... Division II -- Brecek & Young Advisors... etc.
Financial Advisor August 2005 David J. Drucker	An Uncommon Practice Management Guru What's so special about Joni Youngwirth? How about the career history and specialized training that make her the perfect advisor to reps, not to mention the passion she brings to her position, vice president of practice management.