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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.   |
On Wall Street
September 1, 2010
Aarti N. Maharaj |
Five Questions With Amy Strong Joining Financial Research Corp. as a research analyst in 2007, she examines the state of the industry and marketing effectiveness. |
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. |
Registered Rep.
December 23, 2011
Diana Britton |
Not Going Tactical Could Pose Real Business Risks, Advisors Fear Following the twin market implosions of the past decade -- first tech, then real estate -- many retail financial advisors are looking for more tactical, meaning active, asset allocation solutions for client portfolios. |
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
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. |
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. |
Financial Advisor
January 2006
Sydney LeBlanc |
Breaking The Mold The new SMA environment will allow advisors to demonstrate in a truly value-added fashion that they bring a great deal of expertise to the table from which clients can benefit. |
Financial Advisor
May 2006
Tracey Longo |
What Have You Done For Me Lately? The race is on among independent broker-dealers to recruit more top fee-based advisors. |
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.
July 14, 2009
Halah Touryalai |
Financial Advisor Switching Firms Jumps in June June was a busy month for financial advisors on the move. The number of advisors switching firms jumped 45 percent in June versus May, according to Discovery Database. |
Investment Advisor
September 2005
Kathleen M. McBride |
But Are They a Good Deal? MFS asset allocation funds pass the three-year mark and get high ratings from S&P. |
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
September 2009
Lewis Schiff |
The Affluentialist: Building Retirement Portfolios Now Few advisors use a cookie cutter approach to retirement income support. |
Financial Planning
February 1, 2008
Huxley & Burns |
The Match Makers Advisors can use asset dedication to match client's cash flows to their liabilities. |
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.
October 8, 2014
Diana Britton |
Are Advisors Disillusioned with Alternatives? According to WealthManagement.com's 2014 AdvisorBenchmarking RIA Trend Report, fewer RIAs are using alternatives in their client portfolios this year than last. |
Registered Rep.
December 22, 2009
Stan Luxenberg |
Forget Stock Market Gains, It's Best to Avoid Losses Many financial advisors and portfolio managers who held to traditional buy-and-hold stock-bond portfolios are now emphasizing new kinds of diversification. |
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. |
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. |
Investment Advisor
October 2007
Neal Ringquist |
Tech Tools There are a number of reoccurring concerns that rank high among the challenges that today's financial services institutions and advisory firms are looking to address. A software company president discusses how to solve those niggling problems stunting your growth. |
Financial Advisor
June 2009
Marla Brill |
ETF Portfolios To Go ETF portfolio management services pitch to financial advisors. |
Registered Rep.
October 14, 2011
Diana Britton |
Post 2008, Clients Have a Different Outlook on Volatility Clients are less focused on returns, and are more focused on not losing money, said Kelly Campbell, president of Campbell Wealth Management, during a panel session at the Peak Advisor Alliance conference. |
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
June 2009
Robert F. Keane |
Directional Advisor Bob Whalen moved to Brewer Financial Services because of the depth of product and open architecture. He expects a lot of other reps to follow suit. |
Registered Rep.
April 29, 2015
Diana Britton |
Advisor Views on The Economy We recently surveyed over 2,000 advisors across channels about their views on the economy and business as part of its 2015 AdvisorBenchmarking All-Channel Report. Here's what they had to say. |
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. |
Financial Advisor
June 2011
Timothy P. McGrath |
Expect To Work Harder Advisors need to communicate with clients more and provide them with more active portfolio management. |
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
December 2009
James J. Green |
Catching Up With...Gary Gallagher A chat with LPL's executive VP strategic programs and support services. |
Financial Advisor
September 2010
Carty & Carty |
Both Sides Of The Ledger Barra co-founder Andrew Rudd is helping advisors build portfolios that balance client resources against future claims. |
Financial Advisor
November 2005
Tracey Longo |
All For Advisors Brokerage executives are doing their best to deliver the tools advisors need to move their business to the next level, while still remaining efficient. That includes streamlined technology, investment and rebalancing selections, outsourcing, practice management and business development assistance. |
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
March 2010 |
More Advisors Embrace Alternatives Advisors are increasingly turning to alternative investments, not as a source of outsized returns, but rather to provide true diversification to clients' portfolios. |
Investment Advisor
February 2009 |
A New Benchmark for Advisors With many advisors using an asset allocation strategy, the S&P 500 is no longer a great benchmark against which to set your pace. Take a look at these new benchmarks. |
Investment Advisor
February 2009
Angela Herbers |
Advisor, Heal Thyself Good advice to advisors these days is that they revise their own financial plans. |
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. |
Investment Advisor
August 2009
Melanie Waddell |
More Annuities Used in Income Portfolios Advisors are increasingly turning to annuities to help cover their clients' basic needs in retirement. |
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 23, 2010
Halah Touryalai |
Clients, The New Breakaways First, there was the breakaway broker phenomenon; now, it seems, we have a growing vogue of breakaway clients -- former wirehouse investors who ditch their old advisors for new ones at independent RIAs or broker/dealers. |
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. |
Financial Planning
June 1, 2009
Ilana Polyak |
Buy and Hope More and more advisors are rethinking a buy and hold strategy. |
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
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. |
Financial Planning
January 1, 2012
Bob Veres |
True Cost of Tactical Management Investment companies are going to be facing very different selection criteria than in the past. |
Financial Advisor
March 2011
Somnath Basu |
Back To Basics Advisors don't need to rely on complicated models to help clients avert losses. |
Financial Advisor
November 2009
Bruce W. Fraser |
Shifting Landscape A shifting economic environment is also changing financial advisors' practice management world. |
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 Advisor
July 2011
Bernie Clark |
A Record Year For RIAs Discipline both on the expense and client care sides has created sound business practices for an evolving RIA industry. |
Investment Advisor
June 2010
Bob Clark |
Clark at Large: Investing Like the Big Boys Alternatives can make a big difference in client portfolios. |
