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Financial Planning
June 1, 2008
Philip Palaveev |
Be Careful What You Wish For Understanding the advisor and independent broker-dealer relationship.   |
Financial Advisor
August 2012
Karen DeMasters |
The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers. |
Financial Planning
February 1, 2011
Matt Lynch |
Fiduciary Freedom The growing voice of financial advisors demanding to be emancipated from the artificial limitations placed on them by outdated broker-dealers is finally being heard. |
Financial Advisor
November 2010
David Lawrence |
Back In The Fold? Will the new regulations force independents to return to broker-dealers? |
Financial Advisor
May 2012
David Lawrence |
Missed Opportunity Most advisors under utilize the technology offered by their broker-dealer or custodian. Why? |
Financial Advisor
January 2006
Tracey Longo |
Working Smarter, Not Harder As more independent broker-dealers set themselves up as strategic outsourcing partners, they are finding bigger and better firms driven to their door by stagnant or shrinking profit margins and the accelerating compliance melee. |
Investment Advisor
January 2007
Kathleen M. McBride |
When Selling Your Practice . . . Advisors are smart about many financial matters, but when it comes to selling their own firm, many are surprised about how much more there is to know. |
Financial Advisor
January 2005
Tracey Longo |
How Fee-Based Programs Led 2004 Brokerage Profits Fee-based profitability is not lost on brokerage executives, who are ramping up programs designed to attract more planners to a fee-based business model and away from traditional commissions. |
Financial Advisor
June 2007
Sherri Scordo |
Financial Advisor's 2007 Broker-Dealer Guide Top independent broker-dealers ranked by gross revenue: LPL... AIG Advisors Group... ING Advisors Network... etc. |
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. |
Financial Advisor
June 2008
Tracey Longo |
Swimming Upstream California investment advisor John Threlkeld has been working diligently to serve wealthier and wealthier investors, even purchasing two other advisors' practices and turning all but his top clients over to a junior planner. |
Registered Rep.
March 30, 2011
Matt Matrisian |
Bridging the Succession-Planning Gap Too many advisors need help planning their financial futures. Today, only about 18 percent of independent advisors have a well-defined business succession plan that is ready to implement. |
Financial Advisor
August 2004
Sydney LeBlanc |
Independent Broker-Dealers Improving SMA Programs Historically, independent advisors have been forced to sit on the sidelines while wirehouses led the way in products and technology for separately managed accounts. Increasingly, things seem to be changing. |
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. |
Financial Planning
November 1, 2007
David Grau |
Protecting Equity As independent advisors move to evaluate, build and realize the equity in their growing practices, one holdover succession practice threatens to undermine their progress. |
Financial Planning
June 1, 2008
Donald Jay Korn |
All Systems Go Clients and income hold steady in the financial services industry. |
Financial Planning
January 5, 2008
John J. Bowen Jr. |
Better Than Average Making a New Year's resolution to improve your practice? A new survey lets you benchmark your performance against the broader advisory community. |
Financial Advisor
October 2012
Joel P. Bruckenstein |
A Different Kind Of Leverage Independent broker-dealers are using technology to help their advisors prosper. |
Financial Advisor
October 2005
Chris Radford |
Practice Management: What The Survey Doesn't Say Because there are no surefire business plans for success, it takes a unique combination for each financial advisor to find the "x-factor" -- that intangible number in every business opportunity that equals ultimate success. |
Financial Planning
June 1, 2010
Paul Menchaca |
Survivor Island Firms that endured the worst of the financial crisis and lived to tell about it. |
Financial Advisor
March 2012
Eric Rasmussen |
Swimming In Shallow Water Broker-dealers face a stagnant rep pool, shrinking margins and the choke hold of regulators. But it's been a boon to the biggest consolidators. |
Financial Planning
October 1, 2010
James E. Warren Jr. |
Beyond the Payout Eight critical points that every financial advisor contemplating a change of affiliation should consider. |
Financial Planning
September 1, 2009
Hamburger & Walter |
The Missing Piece Succession issues arise with every business, but they're more personal and are subject to more emotions in an entrepreneurial, closely held, professional services firm. |
Registered Rep.
March 23, 2011
Philip Palaveev |
How To Handle An Imploding Broker/Dealer As we watch one independent broker/dealer after another succumb to regulatory action, financial problems or consolidation, many advisors are questioning the security of their very livelihoods. |
Financial Advisor
November 2012
Mary Rowland |
Tough Test An entrepreneur evaluates advisors for the wealthy. These families now have a "search firm" to perform due diligence on advisors and help the families find exactly the right one. |
On Wall Street
June 1, 2010 |
Five Questions With Gurinder Ahluwalia The President/CEO of Genworth Financial Wealth Management talks about his company's goals and services. |
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. |
Financial Advisor
August 2005
Tracey Longo |
Independents Believe Bigger Is Better--And Cheaper Faced with higher costs, broker-dealers are targeting larger advisors. |
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. |
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
June 1, 2013
Ann Marsh |
FP50: Big IBDs Hit a Speed Bump Is the boom over? After years of double-digit growth, independent broker-dealers hit a rough patch in 2012. We report from the front lines of the FP50. |
Financial Planning
October 1, 2010
Brian Hamburger |
Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive. |
Financial Advisor
December 2005
Grove & Prince |
Raising The Bar On Value-Added Services There is an unequaled opportunity for growth when financial advisors leverage the expertise and resources of financial institutions and partner with their product providers. |
Financial Advisor
August 2007
Tracey Longo |
A World For Advisors Broker-dealers across the country are reporting record revenue increases -- a significant portion of these from fee-based business -- and say they're continuing to step up their game in order to recruit advisors with significant practices. |
Financial Advisor
June 2009
Jeff Schlegel |
Money In Motion The economic crisis has wreaked havoc on wirehouses, and more advisors are looking for new opportunities. |
Financial Planning
October 1, 2012
John J. Bowen, Jr. |
Elite Advisors' Best Practices: What Makes for a Successful Planner How do the best financial planners become successful? Developing a vision and a plan for your business takes focus, collaboration and consistency. And it s how the best performers enhance their success. |
On Wall Street
April 1, 2013
Lorie Konish |
Five Questions with Matt Matrisian The director of practice management at Genworth Financial offers advisors tips on avoiding common blind spots. |
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.
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
August 2010
Raymond Fazzi |
Looking To Streamline Now that they've experienced the harsh consequences of poor business management, fee-based advisors are looking to their custodians and broker-dealers for all the help they can get. |
Financial Planning
June 1, 2008
John J Bowen Jr |
Help From My Friends Here are some of the most important issues to consider when working with a financial institution. |
Financial Planning
June 1, 2007
Donald Jay Korn |
FP50: Pressure Points It's a great time to be in financial services. But broker-dealers' challenges are growing as fast as their opportunities. |
Investment Advisor
March 2009
Kara P. Stapleton |
Succession & Valuation A Financial Services Institute OneVoice Broker/Dealer session dealt with internal succession, discussing the steps that advisors and independent broker/dealers need to take when developing a succession plan. |
Financial Advisor
September 2006
Tracey Longo |
There For The Asking? Some agree banks' loss of investors' trust assets is a financial advisor's gain. Now, for that marketing plan. |
Investment Advisor
June 1, 2011
James J. Green |
Agents of Change Envestnet has placed itself squarely at the crossroads of the major issues facing advisors. Its tools will help advisors tackle those issues, leading to growth for all. |
Financial Planning
June 1, 2012
Ann Marsh |
Go Big or Go Home There's a stark choice facing many players in the rapidly consolidating independent B-D game for the foreseeable future: Grow like crazy or call it quits. |
Financial Advisor
October 2010
Michael Patrick Jacobs |
Investors Demand More This advisor provides highlights of what he's found clients today are looking for when they seek advice. |
Financial Advisor
September 2005
Bruce W. Fraser |
How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process. |
Financial Planning
September 1, 2006
Stephanie Bogan |
The Boss Can't Let Go Why your senior advisor is dragging his feet about turning over the reins of the financial advisory firm -- and what you can do about it. |
Financial Advisor
November 2010
Bruce W. Fraser |
Out Of Retrenchment Independent broker-dealers see good recruiting opportunities in 2011. |
