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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. mark for My Articles similar articles
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?... mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
March 1, 2007
The Upstarts There are some upstart custody/clearing firms who are winning business from the behemoths. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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? mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
August 2008
James J. Green
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady mark for My Articles similar articles
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. mark for My Articles similar articles
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? mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
February 1, 2005
By the Numbers Top 10 Broker/Dealers, by Advisor Headcount: Merrill Lynch... Wachovia... Smith Barney... Morgan Stanley... etc. mark for My Articles similar articles
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? mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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... mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
July 2007
Mark Tibergien
People Who Need People Many advisory firms are thinking about creating achievable human capital plans. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles