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Registered Rep.
October 29, 2015
Matt Oechsli |
Financial Advisors Rock This doesn't diminish a CPA's or estate attorney's expertise, but it does provide a clear signal that the affluent perceive today's financial advisor as the quarterback out of all of these financial experts.   |
Registered Rep.
May 31, 2013
Megan Leonhardt |
Cold Call: Michael Kitces Michael Kitces, Research Director of Pinnacle Advisory Group talks about business plans for advisors. |
Registered Rep.
June 28, 2013
Diana Britton |
60 seconds with Scott Collins We asked the Director of Advisor Transitions for TD Ameritrade Institutional what can we expect to change in advisor recruiting going forward? |
Financial Advisor
October 2010
Roy Diliberto |
Solutions Looking For Problems As financial life planners, we need to be watchdogs for inappropriate advice that others suggest to our clients. |
Financial Advisor
July 2005
Bruce W. Fraser |
How To Successfully Select An Estate Planning Attorney In this litigious era, there's reason aplenty for having a formal process in place for selecting an estate planning attorney for your financial planning team and not leaving it, say, to a chance meeting of someone at lunch or a seminar who seems to fit the bill. |
Registered Rep.
August 29, 2012
Jerry Gleeson |
60 Seconds with Ruediger "Rudy" Adolf Focus has 100 advisor partners and $50 billion in assets. Last month it announced a deal in which the consulting firm Mercer agreed to provide research for your advisor firms. How did that come about? |
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. |
Financial Planning
August 1, 2011
Martin Shenkman |
Conversation Starter What's the right way for an advisor to handle estate planning? Is there even one right way? |
Registered Rep.
July 5, 2012
Jerry Gleeson |
60 seconds: David Welling A year after Advent Software bought your company, your founder and CEO Reed Colley has moved to Advent's HQ in San Francisco. Will the rest of the company join him? |
Financial Planning
May 1, 2008
John J. Bowen |
The Right Ally Forming strategic alliances with the right professional advisors -- such as CPAs and attorneys -- is one of the best avenues for advisors to acquire additional high-net-worth investors. |
Registered Rep.
August 29, 2014
Megan Leonhardt |
Patching Together an Empire Cetera Financial is now the face of RCAP's independent retail advice segment. How do you keep Cetera's culture from bleeding into all of the other b/ds that RCAP has acquired? |
Financial Planning
October 1, 2006
Marshall Eckblad |
Advisor Pulse The registered investment advisor market continues to add assets at a hefty rate. |
Registered Rep.
March 31, 2015
Matt Oechsli |
Upping the Referral Game How do elite financial advisors develop effective referral alliances? |
Investment Advisor
October 2009
James J. Green |
Getting Estate Planning Help The next few years will be a challenging time for advisors to stay current in creating, monitoring, and modifying clients' estate plans. |
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.
May 1, 2005 |
60 Seconds With David Monday Wachovia Securities' new Individual Investor Group leader talks about his plans for the new division. |
Financial Planning
March 1, 2013
John J. Bowen, Jr. |
For Advisors, a Client-Centered Shift More advisors are shifting toward a broader approach and away from investment management. |
Financial Advisor
September 2008
Rebecca Pomering |
Picking A CPA Mate The concept of financial advisors partnering with CPAs is not a new one. But if the strategic fit isn't good and if the partnership has not been forged with deliberate, thoughtful planning, the results won't be merely disappointing, but disastrous. |
Registered Rep.
November 13, 2015
Ryan W. Neal |
Despite Volatility, Advisor Confidence High The market volatility in the third quarter wasn't enough to shake advisor optimism. |
Registered Rep.
July 30, 2012
Jerry Gleeson |
60 seconds: Steve Onofrio You're rolling out a new $600 million tech platform that took seven years to develop. Is there a perception in the industry that SEI was behind the curve? |
Financial Planning
April 1, 2013
John J. Bowen, Jr. |
5 Success Tips From High-Performing Advisors A new study of high-earning advisors offers 5 clear success tips. |
Financial Planning
June 1, 2009
John J. Bowen Jr. |
Culture Clash To create alliances with CPAs, you first have to understand the way most CPAs perceive most financial advisors and then do what's necessary to show that who you are, and what you offer their clients, is quite different from their expectations. |
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. |
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. |
Registered Rep.
December 8, 2015 |
2015 Broker Report Card: How National Brokerage Firms Stack Up REP.'s 25th annual Broker Report Card is the survey that lets advisors from the six major national brokerages rate their employers across a range of factors |
Registered Rep.
December 8, 2015 |
2015 Broker Report Card: A Less-Than-Diverse Workforce Of the advisors who participated in the 2015 Broker Report Card, 21 percent were women. |
Registered Rep.
September 1, 2005
Grove & Prince |
Theory to Practice For many advisors, the evolution to wealth manager remains a matter of theory, not practice. Sure, they're calling themselves wealth managers, but they're still behaving like financial advisors. |
Registered Rep.
September 30, 2014
Megan Leonhardt |
Q&A: Shelley O'Connor, Head of Field Management, Morgan Stanley Wealth Management I am keenly interested and very focused on bringing more women into this business, particularly in the role of either a financial advisor or as a manager. |
Financial Advisor
August 2012
Jon Beatty |
A Promising Road Advisors are enjoying strong growth despite significant challenges in the financial markets. |
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. |
Registered Rep.
February 2, 2015
Ryan W. Neal |
Cold Call: Q&A With Brent Brodeski, Principal and CEO, Savant Capital Management When you combine [accounting and advising] together, I think you have the ability to create enhancements on both sides. |
Registered Rep.
September 14, 2005
John Churchill |
H&R Block On a Recruiting Spree The firm known primarily for its tax preparation services is ramping up its financial advisory force. |
Registered Rep.
December 7, 2011
Philip Palaveev |
The Say on Pay: Registered Rep.'s 2011 Compensation Survey Financial advisors continue to expand their practices, work with more clients and receive ample compensation for their efforts. |
Registered Rep.
January 2, 2013
Megan Leonhardt |
60 Seconds with Harvey Pitt Harvey Pitt gives his opinion about new members of Congress and new Securities and Exchange Commissioner Elisse Walter. |
Registered Rep.
August 29, 2014
Megan Leonhardt |
Staying on Top What is LPL doing to minimize future regulatory problems? |
Registered Rep.
February 25, 2013
David Geracioti |
Cold Call with Jeff Spears Each broker leaves for a different reason that is unique to their business or personal situation. The reasons range from a corporate merger, compensation change, loss of a large client to a life event, such as a divorce or children moving out of the house. |
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 17, 2012
Jerry Gleeson |
The Odd Couple: Advisors and Accountants Mergers between advisors and accountants are often seen as marriages of mutual interest, but don't kid yourself. Industry experts say there's a Mars-and-Venus quality to the partnerships that makes success difficult. |
Financial Planning
January 1, 2011
John J. Bowen Jr. |
Team Building Your goal is to build a close-knit group, team players who work well with your clients and provide all the skills you and your clients need. |
Registered Rep.
August 25, 2010
Halah Touryalai |
Better Economic Times Ahead? Your Clients Don't Think So. Advisors seem more optimistic about the economy than their own clients, according to a recent survey. |
Registered Rep.
October 31, 2014 |
Advisor Views on Alternatives While 70 percent of advisors recommend some form of alternative products to their clients, it's a select group. |
Registered Rep.
October 1, 2012
Diana Britton |
60 seconds with Lauren Locker The newly elected chair of the National Association of Personal Financial Advisors talks about her priorities for the job. |
Financial Advisor
May 2005
David J. Drucker |
Accounting For CPA Referrals Why are CPAs selling client referrals to financial advisers, and should you be buying? |
Financial Planning
August 1, 2008
John J Bowen Jr |
Wide-Angle Lens Too many advisors focus almost exclusively on their clients' investments and ignore a number of other important areas. |
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
June 2008 |
Frontline News News: As the number of financial advisory players shrinks, recruiting intensifies... Pomering to run Moss Adams' RIA unit... Pershing advisor solutions sets exec committee... Larger taxable distributions on mutual funds... etc. |
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.
December 1, 2006
Kristen French |
60 Seconds with Deborah Doyle McWhinney A short interview about the rivalry between the registered investment advisor (RIA) firms that Schwab caters to and Wall Street wirehouses. |
