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Investment Advisor
June 2009
Robert F. Keane |
About the Planner Facts and figures about Bob Whalen, president of Brewer Financial Services.   |
Investment Advisor
August 2010
Melanie Waddell |
Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas. |
Investment Advisor
July 2009
Jonathan Henschen |
Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way. |
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. |
Investment Advisor
September 2009
Melanie Waddell |
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away. |
Investment Advisor
October 2008
James J. Green |
When Big Is Better Larry Roth, CEO of the AIG Advisor Group, believes that in these troubled times, being big is quite an advantage. |
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. |
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. |
Investment Advisor
September 2008
Philip Palaveev |
The Case for Commissions Commission product uses fall into six primary categories. Read on to see what they are. |
Registered Rep.
October 28, 2010
Jerry Gleeson |
Ameriprise Profits Pop, Advisors More Productive Ameriprise's Advice and Wealth Management business is doing more with less: fewer advisors, higher revenue and profits. |
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. |
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. |
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.
August 25, 2011
Diana Britton |
Portfolio Models Could See Headwinds Ahead, Especially Among RIAs Despite the fact that broker/dealers expect increased flows into their portfolio models over the next year, advisors' usage of these models has declined in the last 12 months, especially among RIAs. |
On Wall Street
April 1, 2010
Howard J. Stock |
Back Office Move Has Advisors Up In Arms -- Some Bolt Questions surround what will happen to BAI clients when Merrill moves their accounts from National Financial to Merrill Lynch. |
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. |
Financial Advisor
April 2010
Jeff Schlegel |
An Alternative World A growing number of financial advisors and their clients are clamoring for alternative investments in the wake of the massive market maelstrom of '08-'09, but it's a broad space requiring lots of due diligence. |
Registered Rep.
February 3, 2011
Jerry Gleeson |
RIAs on the Recruiting Warpath: LPL's Morristown Financial Recruits 70 in 2010 Investors will refer their family and friends to their advisor if they're satisfied with the service. For financial practices that seek to recruit advisors, the game plays by much the same rules. |
Investment Advisor
September 2009
James J. Green |
Danger & Opportunity: Futures Education Michael Bulley, senior VP for research and risk management for Steben & Co. in Rockville, Maryland, a firm that has specialized in managed futures funds for 20 years, on what you should know about managed futures. |
Investment Advisor
March 2006
Melanie Waddell |
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. |
Investment Advisor
May 2006
Kathleen M. McBride |
B/D Briefing: Pick Three In a recent reader survey, when asked where reps would go if they were to consider moving to another B/D, three firms were consistently mentioned: Commonwealth Financial Network, LPL Financial Services and Raymond James Financial Services. Here's why. |
Investment Advisor
June 2009
Russ Diachok |
Survival of the Fittest An assessment of who will succeed -- and fail -- among the independent B/D ranks. |
Investment Advisor
January 2006
Melanie Waddell |
The Playing Field: Banking on Wealth Management The oldest baby boomers hit 60 next year, so now is as good a time as any to assess whether you're truly providing the wealth management services that your existing clients, and prospective ones, need. Help from a broker/dealer, consultant, or a colleague is well within your reach. |
Registered Rep.
January 1, 2005 |
I'm A Broker, You're A Broker At most publicly traded national broker/dealers, about 35 percent of employees are called financial advisors. |
Investment Advisor
November 2007
Kathleen M. McBride |
Migration Time Is repapering accounts for 202(a) the last straw for wirehouse reps? |
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.
March 31, 2015
Megan Leonhardt |
The Increasingly Happy Broker Generally speaking, the smaller the firm, the happier the broker, according to our fifth Independent Broker/Dealer Report Card survey. |
Registered Rep.
February 18, 2009
Halah Touryalai |
LPL's New RIA Offering Lookin' Healthy; But Still A Pipsqueak Compared To Rivals There are some folks in the industry actually doing relatively well these days. Seriously. LPL Financial said today its new-ish RIA platform now has over $1 billion in new assets. |
Registered Rep.
June 2, 2011
Diana Britton |
America's Top Independent Brokerages The Merrills and Morgan Stanleys of the world say it was never an exodus, the migration is over, and it was only those advisors who couldn't make it in the cutthroat wirehouse world who crossed over to the independent side of the business. |
Investment Advisor
July 2007
Jonathan Henschen |
B/Ds in the Year 2010 What the future holds for independent broker/dealers: technology... outsourcing... marketing... practice management... succession planning... alternative investments... fees... |
Registered Rep.
January 22, 2015
Ryan W. Neal |
Advisor Industry Shrinks While Assets Continue to Grow A recent report by Cerulli Associates found that the industry shrank 1.9 percent to 287,119 advisors in 2013. Asset levels, however, are on the rise. |
Investment Advisor
June 2006
Kathleen M. McBride |
Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways. |
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
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
June 2009
James J. Green |
Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive |
Investment Advisor
September 2008
Robert F. Keane |
Far From Retired Tony Purpero thought he was headed into retirement when he returned to southern California, but instead finds himself working harder than ever to help other current and future retirees. |
Investment Advisor
August 2005
Mark Tibergien |
Formulas for Success: Independence Day There is a growing trend toward registered reps moving out of the wirehouse environment -- a trend invisible to most, but obvious to the country's leading custodians: they are actively wooing breakaway brokers. |
Registered Rep.
February 29, 2012
Jerry Gleeson |
It's a Tough Route for Younger Advisors Anew report by Charles Schwab, which shows that advisors under the age of 40 are more likely than their older peers to feel pressure to grow their book of business, or to focus on selling proprietary products. |
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
September 2007
Michael S. Fischer |
Getting In How to gain access to private equity, managed futures, and hedge funds. |
Investment Advisor
April 2010
Robert F. Keane |
Catching Up With... A short conversation with Fidelity Client Experience Executive VP Maggie Serravalli. |
Financial Advisor
August 2006
Raymond Fazzi |
Custodians Duel Over New Services Competition in the fee-based advisory field and the pressure to grow assets and operations is not only forcing changes upon advisors, but also the custodians who serve them. |
Investment Advisor
April 2006
Maya Ivanova |
Self Improvement In the recent supplement to the 2005 Rydex AdvisorBenchmarking Survey, many advisors recognize that simply maintaining the status quo is not enough. They're continuously examining their business plans and investment processes to look for improvements. |
Investment Advisor
December 2005
Melanie Waddell |
Breaking Away Brokers are finding it easier than ever to go independent, aided by custodians and other independent advisors. |
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.
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. |
Investment Advisor
October 2008
Maya Ivanova |
War Room How the most successful advisory firms are mitigating risk on two fronts: for their clients, and for their own businesses. |
Investment Advisor
September 2007
Kathleen M. McBride |
A Trend Confirmed? Advisory fees overtake commission revenue at Commonwealth. So what does this mean for the independent broker/dealer industry? Will other firms soon reach the point at which fee revenue dominates? |
Financial Advisor
April 2007
William Glasgall |
Why Marketing Works Over the years, many advisors, being analytical people at heart, have relegated marketing to a minor role behind crunching numbers for clients' financial plans and investment portfolios. Now, that attitude seems to be undergoing a long-needed change. |
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. |
