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Registered Rep. March 1, 2007	The Process How can an advisor be sure to find a new independent b/d that is the right fit? With so many firms to choose from, how can a rep begin to narrow down his search?
Registered Rep. December 1, 2006 Anne Field	The Metamorphosis If you are ready to go out on your own as a registered investment advisor, you're likely to encounter a host of tricky problems and stumbling blocks. Here's a look at five of those problems and what you can do about them.
Registered Rep. November 1, 2005 Christopher O'Leary	Creating an Escape Plan Independence has long been a dream of many wirehouse reps. But for the great majority of wirehouse pros, it remains simply that. Going independent is a proposition fraught with peril and is not to be taken lightly.
Registered Rep. November 1, 2005 Christopher O'Leary	Going All the Way Across the country, registered rep employees of national broker/dealers daydream of chucking it all and going off on their own. But how far do you go? Which is the best model for keeping the most of what your business generates?
Investment Advisor August 2008 Elizabeth D. Festa	Springtime for Brokers Custodians and independent B/Ds roll out the carpet.
Registered Rep. November 1, 2006 Halah Touryalai	The Entrepreneur Equation Many a rep dreams of going independent, if only for a minute. But is it worth it, especially these days when most firms are offering record upfront signing bonuses?
Registered Rep. January 1, 2006 Halah Touryalai	The Winner's Curse Many advisors independent b/ds recruit have now unrealistic expectations: They want full technical and marketing support, as well as help understanding products and asset managers.
Registered Rep. March 1, 2006 Kristen French	The Best of Both Worlds Advisors say the broker/dealer-RIA hybrid model gives them freedom to choose what products, services and fees are best for their clients.
Registered Rep. June 1, 2006 Kristen French	The Wealth Management Quest Are you really a wealth manager? Do you know what the phrase really means? It pays to know, because a new compensation report shows only 8% of advisors -- across all business channels -- actually fit the bill.
On Wall Street September 1, 2012 Elizabeth Wine	Financial Advisors Turn to the 401(k) Market for More Business Advisors look to 401(k) plans as fertile ground for business.
Registered Rep. March 1, 2008	How to Dance the Wall Street Shuffle There's no such thing as an easy route to independence. But there are some things reps can do to ease the transition.
Registered Rep. September 1, 2010 Halah Touryalai	Outgrowing the SERIES 7 There is a coveted cohort of dually registered advisors who are dropping their Series 7 licenses and leaving their b/ds behind.
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.
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.
Registered Rep. December 16, 2009 Halah Touryalai	Wirehouse Switching Slows in Second Half of 2009 In November, just 177 advisors in the wirehouse channel switched firms, the smallest monthly number all year, according to Discovery Database.
Registered Rep. November 1, 2006 Susan Konig	A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules.
Registered Rep. October 5, 2010 Halah Touryalai	Creating Your A-Team These days, there's no question that some of the most successful financial advisors in the industry are those who are part of a team.
Registered Rep. June 1, 2007	Best of Both Worlds Stuart Silverman's "hybrid" business model for a broker/dealers designed to make the transition to independence more seamless.
Registered Rep. January 6, 2010 Halah Touryalai	Wirehouse FAs Switching B/Ds Slows The number of wirehouse advisors switching broker/dealers has been in steep decline since June.
Registered Rep. February 1, 2005 Pam Black	Why More Reps Are Getting Their Kicks on Route 66 What's driving top reps to Series 66 RIA designation is not regulatory rules. It's changes in the wirehouse environment that, newly minted RIAs say, made it harder for them to do their own thing.
Registered Rep. May 13, 2009 Christina Mucciolo	Wall Street Squeezes Small Brokers, Many Go Independent In this brutal market, many advisors are taking payout cuts or being let go. But many of these advisors are finding homes at independent and regional b/ds and RIA firms.
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. December 5, 2011 Anne Field	How to Bust Out to a Fee-Only Model In the two years since he's joined Moneta Group, Pat Howley has moved his business from 60 percent commission to 90 percent fees.
Financial Advisor November 2008 Gail Liberman	War Breaks Out For Wirehouse Brokers The economic crisis on Wall Street, among many other things, is causing wirehouse brokers to reconsider the value proposition offered by the giant financial service firms.
On Wall Street July 1, 2010 Lauren Barack	Beating Back The Independents So a mere eighteen months after the sky fell, is it really possible that life at the wirehouses isn't so bad?
Registered Rep. April 1, 2005 Luxenberg & French	A Pile of Reasons Regulators and broker/dealer management have gone overboard with mutual fund disclosure. Take the case of the B-share class of mutual funds.
Financial Advisor November 2009 Raymond Fazzi	Tales Of Breakaway Brokers Fridays on Wall Street not only signal the end of the workweek. For many breakaway brokers, the day marks the end of their wirehouse careers.
Investment Advisor September 2007 Kara P. Stapleton	Changes Ahead for 403(b)s Retirement plan advisors, distributors, and providers are finding themselves responding on the fly to the trends shaping the 403(b) and 457 markets. New regulations will add paperwork and confusion say critics.
Registered Rep. November 1, 2007 Halah Touryalai	Do-It-Yourself Broker/Dealer Rather than join an existing broker/dealer as an independent contractor, an increasing number of reps are starting their own firms. Here are some important things to consider before going out on your own.
Investment Advisor May 2009 Kelli Cruz	Walk On The trend of wirehouse advisors joining the independent RIA channel has ramped up significantly in the last several years, and is only increasing in the wake of Wall Street's epic meltdown.
Registered Rep. June 17, 2011 Philip Palaveev	The Problem with Recruiting Bonuses Too many advisors believe that broker/dealers have gone crazy and are paying great bonuses because they are very competitive.
Registered Rep. November 1, 2006 Christopher O'Leary	Bust a Move...Cleanly Many registered reps have learned that the process of leaving a big firm can turn into a long, painful, litigious and even terrifying ordeal. From the moment you decide to leave a wirehouse, every move you make needs to be right.
Registered Rep. March 5, 2012 Diana Britton	Your Broker/Dealer May Be Headed for Divorce As independent broker/dealers continue to consolidate and the search for profitability accelerates, some firms may be considering going self-clearing, analysts and industry executives say.
Financial Advisor January 2008 Tracey Longo	Breakaway Brokers Despite being in business a shorter amount of time than the average advisor, breakaways have more assets under management, higher total revenues and a significantly higher growth rate.
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.
Registered Rep. April 20, 2011 Anne Field	How to Market Yourself -- When Marketing is Not Your Strong Suit After switching broker dealers, a long-time advisor is looking to attract a handful of reps to his new branch and to publicize his association with his current b/d.
Registered Rep. March 1, 2008 Christina Mucciolo	What Can We Do For You? Clearing firms matter to advisors. In fact, one of the biggest deals in the independent b/d business last year hinged on whether the b/ds being sold could maintain their relationships with their old clearing firm.
Registered Rep. March 12, 2010 Mindy Diamond	Break Back Brokers Over the last six months, an interesting reverse shift is occurring: the RIA or independent b/d advisor who wants to return to (or go to for the first time) a wirehouse firm.
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. June 4, 2013 Diana Britton	Fading Bull Our annual compensation survey shows advisors are riding the market rally -- so what happens when it ends?
On Wall Street July 1, 2009 Frances A. McMorris	The Lure of Independence After 14 years as a Merrill Lynch financial advisor, Jason DiLauro set himself up as an independent through Raymond James Financial Services four miles from his previous office.
Registered Rep. February 1, 2006 Kristen French	Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so.
Registered Rep. May 1, 2007	The Great Reckoning Whatever the specific business impact the Merrill Lynch ruling may have, many see the return to pre-1999 rules as a chance for the brokerage industry, which has long avoided fiduciary duty for business and regulatory reasons, to overcome those obstacles and embrace it.
Registered Rep. June 27, 2011 Diana Britton	The Good, the Bad and the Ugly It seems like every week, another independent broker/dealer goes under or up for sale because of a bad private placement or other problematic alternative investments. All that turmoil has left a pool of advisors out in the cold, looking for new firms to call home.
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.
Financial Advisor February 2011 Evan Simonoff	Exodus Lawyer Brian Hamburger ensures advisors exit wirehouses the right way.
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.
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. March 1, 2006 Allen Plummer	The Tech Decision Matrix Independent contractors or registered investment advisor reps have tough decisions in choosing their back-office and tech solutions. Here's what they need to consider.
Financial Advisor October 2008	Frontline News News: Wall Street Meltdown Could Swell RIA Ranks... Citigroup Defection Illustrates Talent Flight To RIAs... Merger Creates $1 Billion Fee-Only RIA Firm... Boosting Retirement Savings Longevity... Is The Commodities Party Over?... Hometown Investing Can Spoil A Portfolio...