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Investment Advisor
March 2009
Robert F. Keane |
Planner Profile: All in the Family At Newport Beach, CA-based Beacon Pointe Advisors Shannon Eusey serves as president, her father as CEO, and her sister is the CFO -- in other words it's just your average family business with $3.5 billion in assets under management.   |
Registered Rep.
March 3, 2011
Charles Paikert |
Another RIA Launches National Push Via Acquisition Add Beacon Pointe Wealth Advisors to the growing list of registered investment advisors who want to become a national firm. |
Registered Rep.
September 30, 2009
David A. Geracioti |
Do Retail Financial Advisors Have an "Unhealthy Focus?" The Financial Times suggests the way financial products and services are sold need to be completely overhauled. |
Registered Rep.
May 8, 2013
Diana Britton |
Moving on Up: Go Independent and Make More $ Advisors who switched firms saw a jump in their compensation, especially among those who went independent. |
Registered Rep.
March 24, 2011
Jerry Gleeson |
United Capital Buys $170M Advisor Practice Near Philly Just two months after it announced the acquisition of three RIAs with $2.2 billion in combined assets, United Capital said today it has bought another practice, Vantage Point Advisors in the Philadelphia suburb of Lower Gwynedd, Pa. |
Registered Rep.
February 1, 2011
Charles Paikert |
Wealth Management Market Report: Hunting for Big Game in Tinsel Town Like the glamorous actors and actresses Los Angeles is famous for, the city's wealth management market stands out on the national scene. |
Financial Planning
November 1, 2012 |
Women Advisors Forum/Southern California: Protect Your Legacy Women advisors forum topic includes taking care of clients' futures as well as your own |
Investment Advisor
March 2010
James J. Green |
Redefining for Retirement There's a "different mindset" that advisors need to have when focusing on the distribution phase of a client's life. |
Registered Rep.
March 31, 2015
Anne Field |
Compensation Alternatives For advisors targeting younger clients, an AUM-based fee doesn't make much sense, and increasingly high-net-worth clients suspect they are not getting their money's worth. |
Registered Rep.
May 1, 2005 |
13 Percent Percentage of advisors who say they have switched to a wealth management model. |
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
Eric Rasmussen |
Storm Chasing In a volatile market year, growing RIAs sought opportunity. |
Registered Rep.
January 14, 2010
Kristen French |
Wells Fargo FAs Grumble About New Tax Withholding Rate Wells Fargo's new tax withholding system applies a flat rate of 25 percent to all financial advisors, causing under/over withholding problems for many employees. |
Registered Rep.
March 1, 2008 |
Independent Together The "RIA-in-a-box" model will attract plenty of wirehouse reps who may have previously balked at the idea of going completely independent, fearing they were unprepared to run their own businesses. |
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 Planning
November 1, 2008
Jonathan Scheid |
Surviving the Heat Advisors often panic in economic downturns, throwing best business practices out the window. But the advice for advisors is the same as at any other time: Don't overreact or overcorrect. Here are tips for survival in today's market. |
Financial Planning
June 1, 2008
Stacy Schultz |
More Than Equal A study of the role of the female financial advisor. The research compares female to male advisors and looks at the varying performance levels of women advisors. |
Registered Rep.
December 1, 2006
Kristen French |
Morgan's New Comp Plan Morgan Stanley retail head James Gorman announced the rollout of a new compensation program for 2007 -- one that will increase the firm's spending on compensation by millions of dollars. But the plan will also eliminate any compensation to reps on accounts below $50,000. |
Investment Advisor
February 2008
Faille & Joseph |
California Seeks Advisor Registration A proposal under consideration by the California Corporations Commissioner that would require registration by hedge funds is having a hard time finding supporters. |
Registered Rep.
June 1, 2015
Megan Leonhardt |
Compensation Survey 2015: Crunching the Numbers The industry has come a long way in embracing a fee-based business. |
Financial Planning
June 1, 2008
John J Bowen Jr |
Help From My Friends Here are some of the most important issues to consider when working with a financial institution. |
Financial Planning
June 1, 2007
Kathy Gevlin |
Advisor Pulse The happiest financial advisors really do put their clients first, asserts the first study of advisor satisfaction. |
Financial Planning
April 1, 2013 |
Women Advisors Forum: Learn From the Best Next month's New York gathering offers sessions on divorce planning, career development, digital marketing and more. |
Financial Planning
July 1, 2013
Bob Veres |
How to Fix the AUM Fee Model Advisors are trying a dizzying variety of compensation plans. Some have been a lot more successful than others. |
Financial Planning
October 2, 2007
Elizabeth O'Brien |
Advisor Pulse A new study reveals that while 95% of all financial advisors believe they've talked about fees with their clients, only 66% of customers say their advisor has initiated a fee discussion with them. |
Registered Rep.
June 4, 2013
Diana Britton |
Fading Bull Our annual compensation survey shows advisors are riding the market rally -- so what happens when it ends? |
Investment Advisor
January 2008 |
The Compensation Food Chain Performance-based compensation is the future of investment advisor compensation. |
Financial Planning
September 1, 2010
Donna Mitchell |
Social Value A joint study of 144 registered investment advisors by Pershing Advisor Solutions and Aite Group offers evidence that social media is more than an afterthought for advisors. Instead, it's a useful tool for reaching potential customers. |
Investment Advisor
April 2009 |
Soapbox: How to Restore Trust If we want advisors to act in the best interest of clients, there should be a compensation system that offers them incentives them to do so. |
Registered Rep.
June 3, 2015
Megan Leonhardt |
Compensation Survey 2015: How Advisors Stack Up Advisors whose business mix leans more toward fees make almost twice as much as those who still lean heavily toward commissions, according to data collected in WealthManagement.com's compensation survey. |
Registered Rep.
December 7, 2011
Philip Palaveev |
The Say on Pay: Registered Rep.'s 2011 Compensation Survey Financial advisors continue to expand their practices, work with more clients and receive ample compensation for their efforts. |
Registered Rep.
July 10, 2014
Matt Oechsli |
What's Your "Project $200 Million"? Many financial advisors don't know how good they can be, especially when it comes to client acquisition. |
Financial Advisor
February 2012 |
Social Media Losing Some Appeal With Financial Advisors Despite the hype about the benefits social media can bring to financial advisors, most advisors don't find it very useful in their businesses. |
Registered Rep.
November 1, 2005
John Churchill |
You're Worth So Much More Clients might not agree, but there's rising evidence that advisors are not charging enough for their services. |
Investment Advisor
October 2009
James J. Green |
Getting Estate Planning Help The next few years will be a challenging time for advisors to stay current in creating, monitoring, and modifying clients' estate plans. |
Registered Rep.
December 8, 2015 |
2015 Broker Report Card: Show Me The Money Advisors' gross production varied widely by firm in this year's survey results. |
Investment Advisor
March 2008
Angela Herbers |
Words of Wisdom Keeping older professionals in the industry should be a priority. And if we don't do something to rectify this situation sooner rather than later, we face the prospect of watching the experience of a whole generation literally walk out the door. |
Financial Advisor
November 2006
Tracey Longo |
Is The Price Right? When it comes to pricing, many financial advisors are nowhere near as efficient and profitable as they could be. |
Financial Advisor
February 2, 2009
Jeff Schlegel |
Surviving The Plunge Amid falling assets and revenue, advisors try to positions themselves for the eventual upturn. |
Financial Advisor
December 2005
Grove & Prince |
Raising The Bar On Value-Added Services There is an unequaled opportunity for growth when financial advisors leverage the expertise and resources of financial institutions and partner with their product providers. |
Commercial Investment Real Estate
Mar/Apr 2004 |
Area Report In Orange County, Calif., now is an outstanding time to be a seller, says John McDermott, regional manager of Sperry Van Ness in Irvine. |
Financial Planning
January 5, 2008
John J. Bowen Jr. |
Better Than Average Making a New Year's resolution to improve your practice? A new survey lets you benchmark your performance against the broader advisory community. |
Investment Advisor
June 2006
Bob Clark |
Clark at Large: Reality Check A good exercise is to periodically examine the things we know to be true and explore why we think so. Here's a list of possible misconceptions financial advisors hold to be true: Client portfolios need international exposure... It doesn't matter what the other advisors do... etc. |
Financial Planning
September 1, 2008
Brian T. Jones |
The Match Game Gaining new, younger clients is vital to ensuring that a practice will succeed in the long term. The easiest way to do so is to tap your existing client base. As older clients pass away, their assets transfer to their children. Getting in front of them now is crucial. |
Financial Planning
November 1, 2008
Stacy Schultz |
Key to Happiness The key to an advisor's happiness is support, at least for the independent advisor. |
Financial Planning
May 1, 2013 |
May Women Advisors Forum Events Feature Top Planners Topics include expanding a practice, working with divorced clients and more |
Investment Advisor
April 2009
Bob Clark |
Clark at Large: Timing Is Everything Now that (nearly) all asset classes have sunk, advisors are rethinking their investment strategies. |
Registered Rep.
October 30, 2015 |
The State of Independence: ETF Plays Advisors' knowledge of exchange traded funds is lacking. |
Financial Advisor
March 2012 |
In Advisors We Trust At a time when John Q. Public views the nation's financial and political systems with high levels of cynicism and distrust, a recent survey of investors' trust in institutions and individuals found that people think highly of their financial advisors. |
Financial Planning
September 1, 2012 |
Women Advisors Forum/Boston: Innovators in Action A program agenda that's designed to inspire will be offered at the next Women Advisors Forum, set for Oct. 30 in Boston. |
