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Registered Rep.
March 1, 2008
Christina Mucciolo |
What Can We Do For You? Clearing firms matter to advisors. In fact, one of the biggest deals in the independent b/d business last year hinged on whether the b/ds being sold could maintain their relationships with their old clearing firm.   |
Registered Rep.
March 1, 2008 |
A Matter Of Trust What are the biggest hurdles that clearing and custody firms will face in the coming year?... Why did LPL go self-clearing, and will other b/ds follow?... |
Registered Rep.
January 29, 2010
Jerry Gleeson |
PNC May Shed Custody Unit Eager to raise cash and get out from under taxpayer loans, PNC Financial Services Group is looking to sell its custody and clearing division. |
Registered Rep.
March 1, 2007 |
The Upstarts There are some upstart custody/clearing firms who are winning business from the behemoths. |
Registered Rep.
March 1, 2006
Christopher O'Leary |
It's Not Just About the Trade Because of a massive consolidation wave and a hyper-regulatory environment, financial advisors are interacting with their clearing firms in ways they never did before. |
Registered Rep.
March 1, 2006
Kristen French |
The Best of Both Worlds Advisors say the broker/dealer-RIA hybrid model gives them freedom to choose what products, services and fees are best for their clients. |
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. |
Registered Rep.
November 1, 2007 |
Sure is a Good Time to be a Financial Advisor Broker/dealers and registered investment advisories are searching for advisor talent as never before. In fact, advisory firms are competing for talent even more than they are competing for clients. |
Registered Rep.
May 5, 2008 |
LPL Financial Heats Up The RIA World The largest independent broker/dealer in the U.S. announced today it's going to launch an RIA custodian later this year, which will serve both hybrid and fee-only investment advisors who operate independent RIAs. |
Registered Rep.
January 1, 2006 |
Corrections In the November issue of Registered Rep. a list of the 20 largest independent broker/dealers failed to include at least two b/ds that were larger than some on that list. |
Registered Rep.
March 5, 2012
Diana Britton |
Your Broker/Dealer May Be Headed for Divorce As independent broker/dealers continue to consolidate and the search for profitability accelerates, some firms may be considering going self-clearing, analysts and industry executives say. |
Registered Rep.
June 17, 2011
Philip Palaveev |
The Problem with Recruiting Bonuses Too many advisors believe that broker/dealers have gone crazy and are paying great bonuses because they are very competitive. |
Registered Rep.
March 1, 2007 |
The Process How can an advisor be sure to find a new independent b/d that is the right fit? With so many firms to choose from, how can a rep begin to narrow down his search? |
Investment Advisor
October 2009
Mark Tibergien |
Concerning Culture and Control In a growing advisory practice, particularly one with more than one office, span of control becomes another big challenge. |
Investment Advisor
August 2008
James J. Green |
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady |
Investment Advisor
April 2008
Melanie Waddell |
Getting a Handle on 408(b)(2) The new Department of Labor rule will prove more onerous for Broker/Dealers than for Registered Independent Advisors. |
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? |
Investment Advisor
May 2008
Kathleen M. McBride |
What Lurks Beneath There are many registered independent advisors and broker/dealers for whom the Bear Stearns debacle is much more than an academic exercise. |
Registered Rep.
March 1, 2007
Christopher O'Leary |
Meet the New Davids Smaller clearing houses have an advantage in that they promise to keep out of any business that would directly challenge its client's own products and to stick to a core set of services that includes securities lending, custody/clearing and order-management systems. |
Registered Rep.
December 1, 2006
Anne Field |
The Metamorphosis If you are ready to go out on your own as a registered investment advisor, you're likely to encounter a host of tricky problems and stumbling blocks. Here's a look at five of those problems and what you can do about them. |
Registered Rep.
April 7, 2011
Kristen French |
Switching To Independent Model Keeps Up Pace Migration to the independent financial advisor model -- independent b/ds and RIAs -- is likely to continue unabated in 2011. |
Investment Advisor
June 2008
Angela Herbers |
Blue Chips A once in a lifetime opportunity exists for advisors to attract professional talent in a down market. |
Registered Rep.
April 29, 2009
Halah Touryalai |
Wirehouse Advisors Switch Firms in March The number of reps switching broker/dealers during the month was up 34 percent versus the number who switched in February. |
Registered Rep.
November 1, 2005
Kristen French |
A Shopping Allowance: The Newest Recruiting Tool In the competition for top financial advisors, broker/dealers are offering forgivable loans to advisors who want to purchase other financial advisory practices. |
Registered Rep.
September 11, 2009
Halah Touryalai |
Survey Says: Wall Street Advisors Going...Wait For It...Independent! Wall Street wirehouse firms are expected to see a net loss of $188 billion in client assets to other channels in the industry, including RIAs, independent broker/dealers and regional b/ds. |
Registered Rep.
March 1, 2006
Allen Plummer |
The Tech Decision Matrix Independent contractors or registered investment advisor reps have tough decisions in choosing their back-office and tech solutions. Here's what they need to consider. |
Registered Rep.
March 8, 2007
Halah Touryalai |
LPL's Got `Bank.' What's Next? An IPO? LPL's acquisition last week of three Pacific Life Insurance Company b/ds was just one more step in its quest for a successful sale of the company -- or an initial public offering. |
Registered Rep.
February 1, 2005 |
By the Numbers Top 10 Broker/Dealers, by Advisor Headcount: Merrill Lynch... Wachovia... Smith Barney... Morgan Stanley... etc. |
Registered Rep.
October 15, 2010
Charles Paikert |
Schwab's Advisor Services Results Beg the Question: Has the Breakaway Brokerage Phenomenon Peaked? Has the great diaspora of breakaway brokers to Independence Land -- either independent b/ds or RIAs -- climaxed? |
Wall Street & Technology
August 22, 2006
Larry Tabb |
Switching a Back-Office Relationship Is Very Hard For financial firms, while the front office is eminently more glamorous and lucrative, switching front-office providers is easy. Switching a clearing, custody or depository relationship, however, is very hard. |
Registered Rep.
November 1, 2007
Halah Touryalai |
Do-It-Yourself Broker/Dealer Rather than join an existing broker/dealer as an independent contractor, an increasing number of reps are starting their own firms. Here are some important things to consider before going out on your own. |
Financial Advisor
September 2008
David Welling |
Manning Positions The recent success of the independent advisor industry is also the source of one of its greatest challenges. Managing this continued growth can be challenging. |
Registered Rep.
June 9, 2009
Halah Touryalai |
Fewer Advisors Switch B/Ds in May The number of advisors switching firms dropped 23 percent in May versus April, according to Discovery Database. |
Registered Rep.
January 6, 2010
Halah Touryalai |
Wirehouse FAs Switching B/Ds Slows The number of wirehouse advisors switching broker/dealers has been in steep decline since June. |
Registered Rep.
April 1, 2005
John Churchill |
Wealth + Apathy = Opportunity The good news for high-net-worth hunters: A large subset of affluent clients --- self-directed investors --- tend to be nonplussed by their current advisory relationship. |
Registered Rep.
August 1, 2006
Kristen French |
The Way We'll Be While it's clear how the financial services industry got here, it's not so easy to predict where we're going. Here's a look at three major forces that will likely shape the industry over the next five to 20 years: The Age of Retirement... The Margin Squeeze... RIA Revolution... |
Registered Rep.
November 1, 2007
Erik Kolb |
Recruits In The Driver's Seat Recruiting in the independent broker/dealer business has reached a fever pitch. Firms have responded with recruiting incentives such as deferred compensation, transition financing, practice-management help, and sign-on bonuses. |
Investment Advisor
July 2010
James J. Green |
Your Next Custodian Mike Kavanagh and his team at RBC Advisor Services enter the custody space with ambitious plans to attract big advisory firms. |
Investment Advisor
July 2007
Mark Tibergien |
People Who Need People Many advisory firms are thinking about creating achievable human capital plans. |
Investment Advisor
September 2008
James J. Green |
The Quiet, but Growing Custodian A quiet but consistently growing player in the advisor custody space, and a unique one, is Trust Company of America. |
Registered Rep.
October 28, 2008
Halah Touryalai |
AIG B/Ds Looking for a New Home. Any Takers? Now that its parent has announced plans to sell off portions of itself, the AIG Advisor Group is looking for a new home. |
Registered Rep.
May 1, 2005
Kristen French |
Crunch Time for Independents Small independent financial firms are in the middle of a classic squeeze between soaring costs and falling revenue. |
Investment Advisor
March 2009
Mark Tibergien |
Human Capital Is Key The best leaders in the advisory business deploy several key people development strategies. Read on to see what. |
Financial Advisor
July 2005
Raymond Fazzi |
Clearing The Field While the clearing firm market has become treacherous terrain for smaller players, who are vulnerable to being either swallowed up or pushed out by larger firms, some smaller firms have managed to implement successful growth strategies. |
Registered Rep.
April 1, 2008 |
Meet the Indies Choosing an independent broker/dealer to join isn't easy. We speak with five heads of independent broker/dealers about their businesses, an why you should join them. |
Registered Rep.
December 16, 2009
Halah Touryalai |
Wirehouse Switching Slows in Second Half of 2009 In November, just 177 advisors in the wirehouse channel switched firms, the smallest monthly number all year, according to Discovery Database. |
Registered Rep.
November 30, 2005
Halah Touryalai |
LPL Deal Signals Seller's Market for B/Ds Mergers and acquisitions experts say the Linsco/Private Ledger sale to two private equity firms offers proof that it's a seller's market for independent broker/dealers. Moreover, many more b/d deals are on the way, they say. |
Registered Rep.
April 1, 2007 |
Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over. |
Investment Advisor
October 2007
P. Palaveev & D. Inveen |
Grow Your Own The biggest-ever Moss Adams Compensation and Staffing Study finds client demand is outpacing talent supply in the financial advisory industry. |
Investment Advisor
April 2008
Mark Tibergien |
The Long and Short of Business Life Advisory firms can live on when their owners take steps to build continuity. |
