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Registered Rep.
August 28, 2002
David A. Gaffen |
Independent Advisors Squeezed in Downturn "Part of it is due to competitive pressures, but the bulk of problems they're experiencing are really due to what I call the price of independence, which doesn't show during a ten-year bull market."   |
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.
July 1, 2006
Kristen French |
Independent Channel Big and Getting Bigger Every financial-advice channel grew in terms of advisor headcount in 2005 except for the regional and bank broker/dealers, according to recently released research. |
Investment Advisor
June 2008
Philip Palaveev |
The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive. |
Registered Rep.
June 1, 2005 |
A Hit with the Rich The percentage of high-net-worth households naming a registered investment advisor (RIA) as their primary advisor rose to 46% in 2004 from 30 percent in 2001. The growth came at the expense of the wirehouses. |
Registered Rep.
June 7, 2011
Diana Britton |
Advisor Group in Talks to Acquire Smaller B/D Independent broker/dealer network Advisor Group is talking to a number of small and mid-sized broker/dealers that the company would consider purchasing. |
The Motley Fool
December 4, 2006
Dan Caplinger |
10 Trillion Reasons to Invest Mutual funds keep raking in the money. |
Registered Rep.
November 1, 2006
Kevin Burke |
Money Managers Don't Get RIA Market A large number of money managers still haven't figured out how to tap the registered investment advisor market to sell their funds, according to research. |
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.
June 28, 2013
Diana Britton |
60 seconds with Scott Collins We asked the Director of Advisor Transitions for TD Ameritrade Institutional what can we expect to change in advisor recruiting going forward? |
Investment Advisor
September 2008
Philip Palaveev |
B/D or RIA? How to Decide for Yourself To help make the decision between the registered independent advisor and broker/dealer approach, first ask yourself where you belong. |
Investment Advisor
March 2009
James J. Green |
Editor's Note: For Your Consideration RIAs and broker/dealers are more alike than they are different, and it's always better to merge from strength than weakness. |
Registered Rep.
May 1, 2012
Jerry Gleeson |
60 Seconds: Catherine A. Saunders Catherine A. Saunders was named about three years ago to lead a product sales drive to fee-based RIAs. |
Registered Rep.
March 1, 2005 |
Fun Days for Funds No Kidding The market may have been flat for much of 2004, but it didn't affect investors' enthusiasm for mutual funds. |
Registered Rep.
March 31, 2015
Diana Britton |
How Advisors Are Paid The ascendancy of fee-based compensation in the independent broker/dealer space continues. |
Investment Advisor
July 2009
Melanie Waddell |
Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures. |
Registered Rep.
March 1, 2007 |
International Flight Over the last three years, foreign mutual funds have posted annual returns twice those notched by the S&P 500, prompting investors to dump shares of U.S. stock funds and park that cash overseas in search of fatter returns. |
Registered Rep.
March 2, 2015
Megan Leonhardt |
Rep as Portfolio Manager Wirehouse and national firms are the most likely to offer advisor-directed platforms, followed by the bank and independent broker/dealer channels. |
The Motley Fool
January 7, 2004 |
Beating the Market Can an actively managed mutual fund consistently post market-beating returns? |
Investment Advisor
September 2008
Kara P. Stapleton |
Catching up with... Steve Lundquist, recently appointed head of the Registered Investment Advisor channel for JPMorgan Funds, speaks about his business strategy. |
Registered Rep.
August 29, 2012
Jerry Gleeson |
Devil Take the Hindmost The headlines in the media note that advisor headcount was down 2.3 percent overall in 2011. But it was the independent broker/dealer market that accounted for the biggest hit in the numbers. |
Registered Rep.
February 7, 2012
Kristen French |
More Advisors Wearing Investment Management Hat Financial advisors at broker/dealers are increasingly taking the reins on their clients' fee-based accounts, according to a report out from Cerulli Associates today. |
The Motley Fool
May 20, 2004
Tim Beyers |
American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest? |
Registered Rep.
March 6, 2014
Diana Britton |
Independent Channels Continue to Steal from Wirehouses RIA and dually registered advisory channels will grow their share of the advised assets to 26 percent by 2016, according to a report by Cerulli Associates. That growth will largely come at the expense of the wirehouse channel. |
Investment Advisor
November 18, 2010
Bob Clark |
After the Flood How will independent advisors deal with the rising tide of breakaway brokers? |
Registered Rep.
September 1, 2005
Kevin Burke |
RIAs and Their Fat Payouts Registered investment advisors continue to take home fatter paychecks than their counterparts at regionals and wirehouses, even after factoring in the RIAs' higher overhead. |
Registered Rep.
July 7, 2010
David A. Geracioti |
Compensation 2010. Crisis? What Crisis? 2009 income for RIAs -- while lower than 2008, in some cases by a lot -- rebounded fairly nicely, bringing earnings back to 2007 levels. |
The Motley Fool
October 25, 2006 |
Mutual Funds, Explained A mutual fund is thousands of people's money, pooled together by an investment company and invested in stocks, bonds, and other things, all managed for you by Wall Street professionals -- for a sometimes hefty fee. |
Registered Rep.
December 4, 2012
Jerry Gleeson |
Taking Care of Business A survey this year by REP./Wealth Management.com shows how RIA attitudes differ from those among advisors in other channels. |
Investment Advisor
April 2007
James J. Green |
Watch LPL Grow The largest independent broker/dealer acquires three Pacific Life Insurance Co. broker/dealers. |
Investment Advisor
September 2008
Eric Schwartz |
B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future. |
Investment Advisor
May 2009
James J. Green |
Catching Up With: Jeff Montgomery A conversation with the CEO of Al Frank Asset Management. |
Registered Rep.
October 15, 2010
Jerry Gleeson |
Fewer, But Bigger Breakaway Brokers Joining RIAs With markets stabilizing and bank-brokerage merger integrations progressing, fewer brokers are fleeing the big Wall Street wirehouse firms for the RIAs and independent b/ds in 2010. |
Registered Rep.
December 2, 2014 |
Best of the Best 2014 Unlike many of our competitors, we are as transparent as possible about our criteria and methodology when publishing a ranking. |
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. |
The Motley Fool
March 3, 2004
Selena Maranjian |
Mutual Funds at Record Highs People are flocking to mutual funds despite recent scandals. |
Investment Advisor
January 2007 |
Briefs The SEC announced that Charles Fishkin... Frank Tauches was named president of American Portfolios Financial Services... Aston Asset Management is now the advisor to 19 no-load mutual funds... etc. |
Registered Rep.
June 1, 2004 |
10 Years Ago in Registered Rep NASD warnings, again. |
Financial Planning
October 2, 2007
Elizabeth O'Brien |
Bookshelf Dump all your retail mutual funds! That's the message that Ric Edelman shouts in his book, The Lies About Money. |
Financial Planning
October 1, 2009
Conrad & Mitchell |
Indies' Gain Ground Registered investment advisor firms, independent broker-dealers and dually registered advisors are gaining market shares at the expense of wirehouses. |
Investment Advisor
November 2005
Ben Warwick |
Build Your Own Frustrated with the other options, a growing number of financial advisors are starting their own mutual funds. Here's how to do it all yourself, or with a partner. |
Investment Advisor
October 2008
James J. Green |
Is Consolidation Finally Here? Several recent deals for mid-sized independent broker/dealers raises the question. |
Investment Advisor
May 2008
Melanie Waddell |
Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers. |
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? |
Registered Rep.
February 16, 2010
Mindy Diamond |
Recruiting Bonuses Are Still Strong TD Ameritrade, Schwab, Fidelity and Pershing are all reporting that their pipelines of interested advisors is more robust than ever in their collective histories. |
Entrepreneur
January 2004
Scott Bernard Nelson |
Under Fire Is it still possible to invest without getting burned? |
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. |
Registered Rep.
June 1, 2012
Diana Britton |
Alternatives Going Mainstream According to data released by Cerulli Associates and Strategic Insight/SIMFUND, alternative mutual funds account for 2.8 percent of overall mutual fund assets today. But Cerulli projects they will account for 9.7 percent of all mutual fund assets in five years. |
Registered Rep.
April 2, 2012
Diana Britton |
Concert Breaks Into the Hybrid Market Via LPL Partnership RIA aggregator Concert Advisor Services has launched a new hybrid platform, Concert Advisors, and partnered with independent broker/dealer LPL Financial to provide brokerage and custody services. |
Investment Advisor
August 2008
James J. Green |
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady |
