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Financial Advisor
February 2011
Jeff Schlegel |
New Player In Town Merion Wealth Partners has created an advisor-owned, independent wealth management firm it says is unlike the competition.   |
Registered Rep.
May 2, 2011
Diana Britton |
Top LPL Advisor Leaves to Start His Own B/D, Eyes Acquisitions Registered Rep.'s top-rated 2010 independent broker/dealer advisor Ron Carson has announced plans to leave LPL Financial |
Registered Rep.
October 30, 2014
Diana Britton |
The Rise of the Mini-Aggregator The rise of the "mini-aggregator" is an accelerating trend: Mature, established advisory firms who have built out their own infrastructure are realizing that they can rent out their back offices and operations. |
Registered Rep.
December 13, 2011
Charles Paikert |
Regional RIAs Race To Expand Nationally In 2012 As Schwab Makes Move Regional wealth management firms are accelerating their efforts to expand nationally next year. |
Registered Rep.
February 2, 2011
Diana Britton |
RIA M&A Hits Record in 2010, More To Come In 2011 Registered investment advisory firms were furiously busy getting hitched last year: they did the highest number of merger and acquisition deals recorded in at least seven years. |
Registered Rep.
October 25, 2011
Charles Paikert |
Dynasty, Focus Team Up as Battle for Independents Intensifies The already fierce battle among service providers and aggregators to win the allegiance of independent advisors is heating up, with new business models, strategies and unlikely alliances roiling one of the industry's most competitive sectors. |
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. |
Registered Rep.
September 20, 2013
Diana Britton |
RIA Margins Continue to Suffer Last year was a relatively good year for the markets; the S&P 500 was up 16 percent. Yet profit margins at registered investment advisor firms continue to fall, according to WealthManagement.com's 2013 AdvisorBenchmarking RIA Trend Report |
Financial Planning
September 30, 2013
Charles Paikert |
Industry Leadership: Ron Carson Taking bold steps is one of the reasons why Ron Carson, chief executive of Omaha, Neb.-based Carson Wealth Management, is Financial Planning's Industry Leadership Influencer Award winner this year. |
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. |
Investment Advisor
July 2010
Lewis Schiff |
Succession Planning: Buying and Selling Wealth Management Practices 2010 could be the biggest year ever for mergers and acquisitions in the financial advisory industry, but the players and strategies are different than they were prior to the market turndown. |
Registered Rep.
July 8, 2015
Jerry Gleeson |
No Slowing RIA Growth In the financial advisory industry there are potential regulatory burdens, fickle investors, and crafty competitors -- but nothing has changed the relentless march of the registered investment advisor space since the 2008 crash. |
Financial Planning
May 1, 2010
Donna Mitchell |
Advisory Pulse Registered investment advisory firms, especially small ones, are returning to the bargaining table this year; in the first quarter, RIA firms completed 24 merger and acquisition deals. |
Financial Planning
June 1, 2013
Matt Ackermann |
United Capital's Joe Duran: Imitating Starbucks The CEO of United Capital plans a nationwide network of planners with a consistent look and feel. |
Registered Rep.
January 25, 2010
Halah Touryalai |
LPL's New RIA Platform Rakes in Assets Since launching the platform in October 2008 through the end of 2009, the firm gathered $7.3 billion in assets. |
Financial Planning
March 1, 2012
Donna Mitchell |
LPL Aims High In its earning call last month, LPL Investment Holdings shared strong performance numbers for fourth-quarter and full-year 2011. |
Registered Rep.
November 4, 2011
Kristen French |
Indie Exodus: Overhyped? In 2009, in the wake of arguably one of the biggest financial crises this country has seen since the Great Depression, over 3,000 financial advisors left Merrill Lynch, UBS, Morgan Stanley and Wells Fargo to start life over at an independent broker/dealer or RIA firm. |
Financial Advisor
November 2011
Evan Simonoff |
M&A Game Changer Leading custodians in the RIA space are offering acquisition financing to firms that do business with them. |
Registered Rep.
August 18, 2011
Jerry Gleeson |
Market Turmoil Could Slow Advisor M&A Two industry experts expect merger and acquisition activity involving registered investment advisors will drop this year if the current volatility in the stock market stretches into the coming months. |
Registered Rep.
November 26, 2010
Charles Paikert |
RIA M&A Deals On Track To Top 2009 Total The number of mergers and acquisitions completed in the registered investment advisor business through the third quarter of this year is near full-year totals for 2009, according to data from Schwab Advisor Services. |
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 Advisor
October 2012
Karen DeMasters |
Competition, Succession Plans Key To RIA Growth The independent financial advisor channel has enjoyed a strong decade of growth, but firms in this space need to understand the changing factors within the industry says a recent white paper by the Alliance for Registered Investment Advisors. |
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. |
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.
March 28, 2012
Charles Paikert |
Branch Managers Are Key For Aggregator Growth There is growing demand for their talents in one corner of the wealth management universe: newly formed aggregators who are busy buying up firms and opening offices across the country. |
Registered Rep.
December 4, 2012
Jerry Gleeson |
Don't Fear Your Fees RIAs are loathe to increase rates, believing it alienates clients. But industry insiders say advisors have more juice than they suspect. Here's how to get a raise. |
Financial Advisor
July 2012
Bernie Clark |
The RIA Universe Advisors should look not just at their own internal business practices but also at the changes and trends occurring across the RIA field. |
Financial Planning
July 1, 2009
Paul Menchaca |
Soft Landing Most Wall Street refugees are taking measured steps toward independence by joining an independent broker/dealer, rather than launching a registered investment advisory practice on their own. |
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. |
Financial Planning
August 1, 2010
Donna Mitchell |
Who's Planning? A study by Boston-based AiteGroup found that only 18% of independent advisors make financial planning the center of their practice. |
Financial Advisor
January 2004
Dorothy Hinchcliff |
Custodians Are Knocking More custody players have been clamoring for the business of registered investment advisors, and that trend will continue this year, say two well-known research firms for financial institutions and investment managers. |
Financial Advisor
November 2010 |
Frontline News Transparency comes to 401(k) fees... RIA to expand by offering advisors ownership stake... States getting ready for advisor oversight... Advising celebrities can be more pain than pizazz... Aspiriant buys Deloitte Investment Advisors... |
Registered Rep.
April 15, 2010
Halah Touryalai |
RIA M&A Deals Break Record in First Quarter Mergers and acquisitions seem to be crawling back to the top of RIA principals' to-do lists this year, as the first quarter's numbers show record activity. What is your practice worth? |
Financial Planning
October 1, 2010
Elizabeth Wine |
To Market, to Market Observers and participants say the M&A market is just starting to recover from the economic disaster of the last two years, but there's a big price disconnect. |
Investment Advisor
March 1, 2011
Mark Tibergien |
Multiple Choice Options abound for creating liquidity and funding growth in your advisory business, but do your research before making the choice to sell your firm to a consolidator. |
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. |
Registered Rep.
February 14, 2012
Diana Britton |
Yield of Dreams: IBD's Biggest Competition Might be a Custodian As margins continue to be squeezed, IBDs are going to have to get creative with where their revenues comes from, and that means expanding into the RIA and custody market. The question is, who'll make the next move? |
Registered Rep.
April 2, 2010
Jerry Gleeson |
Advisor Work Station Giants Roll Out Spring Upgrades Forget high-tech. What financial advisors are looking for in computer work stations these days is smooth tech, the ability to simplify the complex and sometimes mind-numbing tasks that are part of their daily lives. |
Registered Rep.
October 8, 2015
Megan Leonhardt |
Breakaway Advisors Moving More to Existing RIAs More advisors are looking to leave the wirehouses and brokerages by joining an existing registered investment advisory firm, rather than starting their own. |
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. |
Investment Advisor
August 2008
James J. Green |
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady |
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 2008
Robert Casey |
Slower Build Growth slowed last year among in-dependent advisors, due to the lagging stock market. |
Registered Rep.
May 1, 2008
Anne Field |
Hiring Good Help A panel of experts gives advice on hiring the right new employees to grow your firm. |
Registered Rep.
February 26, 2013
Megan Leonhardt |
Let's Make A Deal The RIA M&A market is poised for growth, but not gaudy growth. |
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
January 2010
James J. Green |
Numerology: Bright Future for Advisor M&A Activity M&A activity among RIA firms is poised for resurgence, as a new market environment emerges and the pool of potential buyers undergoes dramatic change. |
Financial Advisor
November 2009 |
Frontline News Advisor News: Poll on advisor pay... Citi Embracing Fee-Only Model... RIAs Set Record For Repurchasing Their Firms... FINRA Expands Arbitration Pilot Program... SEC Expects To Examine 9% Of RIAs Annually... more... |
Registered Rep.
February 13, 2012
Jerry Gleeson |
Raymond James Ramping Up Its RIA with New Leadership, Investment The new president, Bill Van Law, said the company plans to make a significant investment in the business in the months ahead. |
Financial Advisor
April 2008
Evan Simonoff |
The Big Chill While the financial advisor community and their clients have avoided most of the mortgage-related problems, advisory firms' merger and acquisition activity is suddenly becoming a victim of fixed-income market paralysis. |
