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Registered Rep. January 1, 2007 Halah Touryalai	A Match Made in Equity For financial-advisory practices, holding companies are making a come back after a flawed model forced them out of the market in the late 1990s. Now, new players have emerged and this time they're relying on private equity firms to help keep them in the game.
Financial Advisor August 2007 Jeff Schlegel	Private-Equity Payout The private-equity tsunami that's sweeping the investing world isn't exactly inundating the financial advisory industry, but it is making waves.
Registered Rep. September 15, 2010 Jerry Gleeson	United Capital Acquires Dunn Hogerty, More Mergers Ahead United Capital isn't the only one looking to tie the knot. The broader M&A market is picking up, according to Schwab Advisor Services.
Financial Advisor November 2008	Frontline News News for the Financial Industry: Tumult Could Expand Ranks Of RIAs... M&A Activity Remains Healthy... Independent B-Ds: Don't Tread On Us... Who Has The Most Satisfied Advisors?... The Business Of Serving Business Owners... etc.
Financial Advisor June 2006 Cort Smith	Focused On Big Focus Financial has become one of the largest RIAs only months after it opened its doors. Founder Rudy Adolf says they're just getting started.
Investment Advisor June 2007 Mark Tibergien	Real Deals There's more activity than actual movement on the M&A front for financial advisory firms.
Investment Advisor July 2008 James J. Green	United We Grow United capital's Joe Duran on the state of advisory firms, and his strategy for acquiring financial advisory firms nationwide.
Financial Advisor November 2009	Frontline News Advisor News: Poll on advisor pay... Citi Embracing Fee-Only Model... RIAs Set Record For Repurchasing Their Firms... FINRA Expands Arbitration Pilot Program... SEC Expects To Examine 9% Of RIAs Annually... more...
Financial Planning August 1, 2012 Bob Veres	Embracing the Crazy Ideas Take a closer look at the people who abandon well-established business models for the "insane" reason that they want to give their clients something better.
Financial Advisor December 2007	Frontline News Kochis Fitz To Merge With Quintile... Practicing The Best Practices... United Capital Buys Four Advisory Firms... Herd Mentality Linked With Keeping Up With The Joneses... etc.
Financial Advisor January 2012 Eric Rasmussen	Advisors In A Darwinian World In a more competitive landscape with strained markets, advisors are relearning how to survive.
Registered Rep. January 13, 2011 Jerry Gleeson	United Capital Buys Three RIAs, Adds $2.2B in AUM The three deals bring United Capital's total AUM to more than $13 billion, with 29 offices across the country.
Investment Advisor June 2007 Bob Clark	The Art of the Deal Advisors who don't understand where those astronomical practice values are coming from are doomed to get what they deserve.
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.
Financial Advisor March 2006 Tracey Longo	The Three Es Here are three ways to create an Efficient, Effective & Expedient financial advisory firm.
Financial Advisor April 2008 Evan Simonoff	The Big Chill While the financial advisor community and their clients have avoided most of the mortgage-related problems, advisory firms' merger and acquisition activity is suddenly becoming a victim of fixed-income market paralysis.
Financial Planning May 1, 2010 Bob Veres	A Profession Comes Of Age As the planning profession reaches maturity, motive and opportunity seem to be conspiring to create a better professional world.
Investment Advisor August 2005 Mark Tibergien	Formulas for Success: Independence Day There is a growing trend toward registered reps moving out of the wirehouse environment -- a trend invisible to most, but obvious to the country's leading custodians: they are actively wooing breakaway brokers.
Registered Rep. June 2, 2015 Megan Leonhardt	Compensation Survey 2015: The Slowly Disappearing Commission Moving from a commission-based business to one based on fees, advocates argue, removes conflicts and puts advisors on the same side of the table as their clients.
Financial Advisor February 2, 2009 Jeff Schlegel	Surviving The Plunge Amid falling assets and revenue, advisors try to positions themselves for the eventual upturn.
Investment Advisor February 2007 Mark Tibergien	No Accounting For This Advisory firms affiliated with CPAs are outpacing their peers.
Financial Advisor February 2007 Rebecca Pomering	Four Horsemen Who Missed Their Appointment Things were pretty good for the profession in 2006, but will financial advisors be hearing the hoof beats soon?
Registered Rep. April 4, 2014 Diana Britton	Joe Duran's Journey Out of Chaos Joe Duran, the founder of RIA firm United Capital, knows something about keeping risk and fear at bay.
Financial Advisor July 2011 Eric Rasmussen	Bouncing Back Financial Advisor's 2011 RIA survey shows assets and client numbers continuing to bounce back, but growth could be sluggish.
Financial Advisor November 2011 Evan Simonoff	M&A Game Changer Leading custodians in the RIA space are offering acquisition financing to firms that do business with them.
Financial Planning June 1, 2012 Donna Mitchell	Aiming Lower Mass-market investors, with their relatively tiny net worth but big growth potential, are attracting increased attention from the financial planning industry. Two major companies have announced forays into this market sector.
Registered Rep. July 8, 2015 Jerry Gleeson	No Slowing RIA Growth In the financial advisory industry there are potential regulatory burdens, fickle investors, and crafty competitors -- but nothing has changed the relentless march of the registered investment advisor space since the 2008 crash.
Financial Advisor August 2010 Raymond Fazzi	Looking To Streamline Now that they've experienced the harsh consequences of poor business management, fee-based advisors are looking to their custodians and broker-dealers for all the help they can get.
Investment Advisor March 1, 2011 Mark Tibergien	Multiple Choice Options abound for creating liquidity and funding growth in your advisory business, but do your research before making the choice to sell your firm to a consolidator.
Investment Advisor May 2009 James J. Green	For Firms in the United Capital Fold, a New Platform United Capital Financial Advisers has partnered with FundQuest to build a suite of Web-based tools for UCFA advisors and their clients.
Investment Advisor October 2010 Maya Ivanova	A Decade of Evolution Advisory practices make gains, but still face challenges
Financial Advisor January 2005 Tracey Longo	How Fee-Based Programs Led 2004 Brokerage Profits Fee-based profitability is not lost on brokerage executives, who are ramping up programs designed to attract more planners to a fee-based business model and away from traditional commissions.
Financial Planning September 1, 2009 Hamburger & Walter	The Missing Piece Succession issues arise with every business, but they're more personal and are subject to more emotions in an entrepreneurial, closely held, professional services firm.
Financial Advisor May 2005 Raymond Fazzi	Betwixt And Between Hybrid advisors work in both the fee-based and commission worlds.
Financial Advisor May 2006 Tracey Longo	What Have You Done For Me Lately? The race is on among independent broker-dealers to recruit more top fee-based advisors.
Registered Rep. December 2, 2008 Halah Touryalai	RIA Consolidators Going After Wirehouse Reps RIA holding companies are opening their arms to welcome wirehouse advisors, but only the cream of the crop: those who have significant assets under management and heavily fee-based books.
Investment Advisor May 2007	The IA 25 This year's list of the 25 most influential individuals in and around the planning profession: Mary Shapiro... Rudy Adolf... Robert Arnott... Mark Tibergien... etc.
Financial Advisor November 2009 Bruce W. Fraser	Shifting Landscape A shifting economic environment is also changing financial advisors' practice management world.
Financial Advisor January 6, 2010	Frontline News Private-Placement Claims Surge... Holding Companies Holding On... Thin Wallets... Average Withdrawal Rates Decrease... UMAs Slow To Win Fans...
Registered Rep. February 26, 2013 Megan Leonhardt	Let's Make A Deal The RIA M&A market is poised for growth, but not gaudy growth.
Financial Planning October 1, 2010 Bob Veres	What's Next for Planners When we cast our gaze forward at the changes taking place in the financial planning profession, a lot of new variables creep into the formula: the rapid evolution of technology, demographic and societal changes, plus wild cards like the recent Great Recession and financial reform legislation.
Financial Advisor November 2008 Gail Liberman	War Breaks Out For Wirehouse Brokers The economic crisis on Wall Street, among many other things, is causing wirehouse brokers to reconsider the value proposition offered by the giant financial service firms.
Financial Advisor June 2011 Bruce W. Fraser	Rebuilding Trust - Part 2 Six leaders in the wealth management continue their discussion of the advisory industry and how new rules and regulations will impact it.
Financial Advisor May 2007 Eric Rasmussen	What's New At The Custodian Custodians are continuing to offer new services for fee-only planners in their efforts to woo RIAs.
Financial Advisor December 2010 Jeff Schlegel	Opening The Doors The industry needs to attract younger advisors, but do opportunities exist?
Investment Advisor October 2006 Bob Clark	Swimming With The Sharks Read the fine print before selling your financial advisory firm to a strategic buyer.
Investment Advisor September 2005 Mark Tibergien	Formulas for Success: The Price of Everything... If you're not adding profit into what each financial advisory client costs, you're losing money. Advisors who use a combination of performance fees tied to assets and a retainer tied to more complex planning are able to consistently demonstrate their value.
Investment Advisor January 2008 Mark Tibergien	Think About These What do you think the future holds for your firm? The following 10 essential considerations have already begun to take root: No. 1: Managing growth... No. 2: Hiring professional management... etc.
Financial Advisor October 2012 Jeff Schlegel	The Great Divide? An expectation gap between older and younger advisors might be hamstringing the profession's growth.
Investment Advisor September 2007 Kathleen M. McBride	A Trend Confirmed? Advisory fees overtake commission revenue at Commonwealth. So what does this mean for the independent broker/dealer industry? Will other firms soon reach the point at which fee revenue dominates?