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Investment Advisor
July 2008
James J. Green |
Further Integration at Fidelity Registered independent advisors and broker/dealer arms at Fidelity announce a joint program.   |
Financial Advisor
September 2004
Dorothy Hinchcliff |
Here Come The Big Boys Fidelity and Pershing are competing for advisors' trust business. |
Financial Planning
September 1, 2008
Callahan & Malo |
Hybrid Chic A trend toward hybrids in the financial services industry is emerging. Increasingly, firms, advisors and brokers are establishing practices that manage both commission -- and fee-based businesses. |
Financial Advisor
July 2005 |
Frontline News Advisors Who Market Their Business Do Better, Study Finds... New Pershing Unit To Work With RIAs... FPA Members Strongly Favor Social Security Reform... Economy Tops Terror As Chief Fear Of Affluent, Survey Says... etc. |
Financial Advisor
July 2007
Tracey Longo |
The Big Picture Clearing firms stake their future on helping financial advisors' businesses grow. |
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... |
Investment Advisor
September 2008
Melanie Waddell |
Striking While the Iron Is Hot Under the direction of Ron Fiske, Fidelity's HybridOne platform aims to serve the booming dually registered market. |
Financial Advisor
October 2008 |
Advisor Emporium The latest news from six well known names in the investment management and advisory industry. |
Registered Rep.
October 1, 2005 |
60 Seconds with Bill Carey (Head of Fidelity's RIA group) The former president of Fidelity's institutional retirement business and a 12-year veteran of the firm talks about his plans for the advisory unit and the challenges confronting advisors. |
Investment Advisor
November 2006 |
Now and Then When it comes to plowing through the complexities that are associated with retirement planning, advisors need all the help they can get. Fidelity looks ahead to dominate retirement planning now. |
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. |
Investment Advisor
January 2009
James J. Green |
Schwab Reorganizes; Fidelity Hires; Pershing Provides The three major custodians of RIA assets announce big executive changes and a new practice management program. |
Financial Planning
June 1, 2008
Elizabeth O'Brien |
Set Me Free LPL Financial staked a bigger claim on the independent advisor market last month with the announcement that the broker-dealer will allow its advisors to do business under their own RIA. |
Financial Advisor
June 2008 |
Advisor Emporium News: National Financial Launches Self-Clearing Unit... Payden & Rygel Create Equity Fund... Phoenix Creates Low-Cost Annuity... Russell Launches New Fund For Retirees... Wasatch Advisors Re-opens Popular Funds... ALPS Launches New Insurance Products... |
Financial Advisor
August 2005
Joel P. Bruckenstein |
Pershing Pushing For RIA Business Pershing LLC is aggressively pursuing opportunities in the registered investment advisor (RIA) market segment, and has renamed its key advisor support group as part this new push, company officials said. |
Financial Advisor
February 2008 |
Advisor Emporium LPL And Fiduciary360 Partner For Training... Pershing Offers New Tool... Biondo Joins Investors Capital Advisory... IAS Launches Software Package... Thornburg Introduces New Fund... Vanguard Adds Funds... |
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 Planning
May 1, 2011
Donna Mitchell |
Hybrid's New Groove Registered investment advisor firms looking for ways to expand their businesses might try turning to broker-dealers for a boost. |
Financial Advisor
July 2012 |
Advisor Emporium First Allied launches Women's Impact Network... Fidelity starts Global Equity Income Funds... ProShares launches Covered Bond Fund... |
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. |
Financial Advisor
September 2005
Raymond Fazzi |
A Question Of Trust Custodians square off in a newly competitive trust services market. |
On Wall Street
November 1, 2010
Gallant & Schneider |
Navigating The Retirement Business The demand for retirement income support will continue to grow rapidly in the coming years as the aging of the baby boom generation is inevitable. |
Financial Advisor
May 2005
Lavine & Liberman |
Uncertain Future The Fidelity Executive Forum raises issues about where the money management industry is headed. |
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. |
Registered Rep.
March 8, 2011
Diana Britton |
IBDs Dress Up Offerings For Hybrids Independent broker-dealers have lately been ramping up their efforts to attract hybrid advisors. |
Financial Planning
June 1, 2008
Elizabeth O'Brien |
Millionaires Ahoy! Independent advisors who are looking to snag more millionaire clients should focus their efforts on prospects who do not already have a registered investment advisor, according to a new study by Fidelity Investments. |
Investment Advisor
March 2006
Melanie Waddell |
The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable. |
Registered Rep.
May 1, 2005 |
13 Percent Percentage of advisors who say they have switched to a wealth management model. |
Financial Advisor
January 2008
Tracey Longo |
Breakaway Brokers Despite being in business a shorter amount of time than the average advisor, breakaways have more assets under management, higher total revenues and a significantly higher growth rate. |
Financial Advisor
December 2007 |
Advisor Emporium Two Firms Target Fee-Only Advisors... Arrow Launches New Fund... HardAssetsInvestor.com Offers New Tools... PowerShares Offers New Bond Portfolios... etc. |
Financial Advisor
July 2007 |
Advisor Emporium Pershing Launches Managed Account Network... John Hancock Adds Allocation Options... Matrix Buys Interest In Research Firm... etc. |
Financial Planning
July 1, 2009
Joel P. Bruckenstein |
Introducing NetX360 It remains to be seen if Pershing can execute its plan to ensure that clients receive the maximum benefit from their new NetX360 technology. If Pershing succeeds, it could give the company a large technological lead over its competitors. |
Financial Planning
August 1, 2008
Stacy Schultz |
B-D of the Future The Broker-Dealer of the Future, Pershing's first study on the industry, identifies factors facing broker-dealers new competitive landscape. |
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. |
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 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. |
Financial Advisor
March 2005 |
Advisor Emporium Allstate Variable Annuity Features Innovative Options... Commonwealth Launches Marketing Campaign... SSgA Launches "Portfolio Constructor" Investment Tool... Fidelity Launches International Fund... etc. |
Financial Advisor
March 2006 |
Frontline News AST Trust Purchases Capital Trust Co. Of Delaware... Intuit Poised To Release PortfolioMinder... Financial Advisor Plans Top RIA Ranking... Morningstar Workstation Available At TD Ameritrade... Rule Is `First Step'... etc. |
Financial Advisor
August 2007
Tracey Longo |
What's Your Retirement Brand? Unless you're branding yourself a retirement income planning specialist and it's clear in clients' minds you're going to do retirement income planning for them, your client relationships honestly may be in peril. |
Registered Rep.
October 19, 2010
Jed Horowitz |
Genworth Wealth Moves Upscale The allure of wealthy investors and their preference for fee-based advisors has permeated the radar of another provider of investment management solutions. |
Financial Advisor
August 2008 |
Frontline News News for the financial industry: Alliance Creates New Retirement Option... Direxion Launches Two New Funds... Genworth Launches IRA Variable Annuity... Paperless Account Opening Offered... Jefferson National Expands VA Offerings... Vanguard Introduces New Index Fund... |
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
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. |
On Wall Street
September 1, 2011
Nick Georgis |
Taking The Hybrid Road As more advisors transition to independence these days, a growing number of them are choosing to adopt a hybrid business model that lets them conduct both commission-based brokerage business and fee-based advisory business. For many advisors, the hybrid road may offer the best of both worlds. |
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. |
Investment Advisor
October 2009
James J. Green |
Fidelity Cuts Costs on Technology, Trading Fidelity Institutional announced a range of price cuts and time-bounded fee waivers for advisors who custody client assets at Fidelity. |
Investment Advisor
September 2009
Melanie Waddell |
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away. |
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. |
Financial Advisor
April 2007
Tracey Longo |
Getting A Share Of Trust Assets Trust assets are up for grabs and often are there for the asking, provided financial advisors know the right questions to ask. |
Registered Rep.
July 29, 2013
Diana Britton |
No Man Is an Island Independent broker/dealers are dressing up their offerings to attract and retain advisors tempted to start their own RIAs. |
