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Registered Rep. August 1, 2005 Matt Barthel	RIAs in Flux The pioneering ways of registered investment advisors (RIAs) are coming back to bite them. Once on the cutting edge of "holistic" financial planning and fee-based client relationships, RIAs are now just one of a pack of firms offering such services.
Investment Advisor June 2009 James J. Green	Numerology: Fund Flows Bounce Back Independent and regional broker/dealers, along with RIAs, will account for the majority of mutual fund net sales by the year 2013.
Registered Rep. September 11, 2009 Halah Touryalai	Survey Says: Wall Street Advisors Going...Wait For It...Independent! Wall Street wirehouse firms are expected to see a net loss of $188 billion in client assets to other channels in the industry, including RIAs, independent broker/dealers and regional b/ds.
Registered Rep. August 29, 2012 Jerry Gleeson	Devil Take the Hindmost The headlines in the media note that advisor headcount was down 2.3 percent overall in 2011. But it was the independent broker/dealer market that accounted for the biggest hit in the numbers.
Registered Rep. July 30, 2012 Jerry Gleeson	Failing at Succession? Cerulli Associates estimates that nearly 60 percent of advisors who are within five years of retiring expect to sell their business to an unidentified buyer. Five years is not enough time.
Registered Rep. January 22, 2015 Ryan W. Neal	Advisor Industry Shrinks While Assets Continue to Grow A recent report by Cerulli Associates found that the industry shrank 1.9 percent to 287,119 advisors in 2013. Asset levels, however, are on the rise.
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.
Registered Rep. October 24, 2007 Halah Touryalai	The New New RIA Model: Sharing Back Offices The barriers to going independent are shrinking. Don't believe it? Check out Mraz, Amerine & Hirschler & Associates, a firm launched by three wirehouse advisors who left Morgan Stanley earlier this month with $400 million in client assets.
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. February 7, 2012 Diana Britton	Are Regulations Killing the Hybrid Financial Advisor? Some advisors say new compliance and regulatory burdens under Dodd-Frank are making the hybrid model untenable.
Registered Rep. July 1, 2006 Kristen French	Independent Channel Big and Getting Bigger Every financial-advice channel grew in terms of advisor headcount in 2005 except for the regional and bank broker/dealers, according to recently released research.
Investment Advisor September 2009 Melanie Waddell	Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away.
Registered Rep. March 6, 2014 Diana Britton	Independent Channels Continue to Steal from Wirehouses RIA and dually registered advisory channels will grow their share of the advised assets to 26 percent by 2016, according to a report by Cerulli Associates. That growth will largely come at the expense of the wirehouse channel.
Financial Planning February 1, 2010 Donna Mitchell	More Money in Motion During the financial crisis, the majority of high-net-worth clients maintained accounts with at least two financial advisors, Boston-based Cerulli Associates said in a January report.
Financial Advisor July 2010 Bernie Clark	Gunning For Growth RIA firms estimate that they'll see 15% revenue growth this year. An emphasis on efficiency will free principals to go after new business again.
Investment Advisor November 18, 2010 Bob Clark	After the Flood How will independent advisors deal with the rising tide of breakaway brokers?
Registered Rep. September 1, 2005 Kevin Burke	RIAs and Their Fat Payouts Registered investment advisors continue to take home fatter paychecks than their counterparts at regionals and wirehouses, even after factoring in the RIAs' higher overhead.
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.
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 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.
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. November 21, 2012 Jerry Gleeson	Why Wirehouse FAs Pass on the RIA Path Independence is appealing to a growing number of wirehouse advisors, but the RIA route clearly has some challenges for most of them.
Investment Advisor November 2009 James J. Green	Hybrids on the Rise Asset managers have reacted to the market crisis of 2008 by cutting their overall salesforce personnel by about 5%.
Financial Advisor March 2012 Bernie Clark	The Changing RIA Advisors need to start thinking bigger and go beyond their current capabilities.
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?
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. 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.
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.
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. June 1, 2005	A Hit with the Rich The percentage of high-net-worth households naming a registered investment advisor (RIA) as their primary advisor rose to 46% in 2004 from 30 percent in 2001. The growth came at the expense of the wirehouses.
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.
Registered Rep. December 20, 2012 Diana Britton	Are Your Clients Cheating on You? Probably You may be in denial, but chances are, your clients are cheating on you. A recent report by Cerulli Associates found that 74 percent of investors own a direct investing account, but advisors believe it's much less.
Investment Advisor March 2009 James J. Green	Editor's Note: For Your Consideration RIAs and broker/dealers are more alike than they are different, and it's always better to merge from strength than weakness.
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. March 28, 2003 Ross Tucker	RIAs Lower Fees, Pull In More Clients Poor market conditions and the resulting competitive environment forced Registered Investment Advisors to lower fees in 2002, according to a survey.
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. 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.
Registered Rep. October 15, 2010 Jerry Gleeson	Fewer, But Bigger Breakaway Brokers Joining RIAs With markets stabilizing and bank-brokerage merger integrations progressing, fewer brokers are fleeing the big Wall Street wirehouse firms for the RIAs and independent b/ds in 2010.
Investment Advisor May 2009 James J. Green	Pershing Service for RIAs at B/Ds Pershing LLC introduces a new service for its affiliated broker/dealer firms called RIA Complete.
Investment Advisor November 2006 James J. Green	Good Time to Be an RIA If Deborah McWhinney should ever want to change jobs, she could easily become the RIA community's designated cheerleader.
Registered Rep. April 2, 2012 Diana Britton	Concert Breaks Into the Hybrid Market Via LPL Partnership RIA aggregator Concert Advisor Services has launched a new hybrid platform, Concert Advisors, and partnered with independent broker/dealer LPL Financial to provide brokerage and custody services.
Registered Rep. November 17, 2014 David H. Lenok	Study Shows MFOs on the Rise Cerulli Associates recently released the 2014 edition of their annual study on high-net-worth (HNW) markets, and the main takeaway is that advisors are buzzing over family offices.
Investment Advisor October 2009 James J. Green	More on Migration Cerulli Associates estimates that $800 billion will be moving as advisors change firms.
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. December 20, 2010 Diana Britton	RIAs Reinvesting in Their Firms Despite Economic Uncertainty Forty-six percent said they are optimistic about the direction of the economy, up 30 percent from last quarter.
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?
Investment Advisor June 2009 Melanie Waddell	Retirement Planning: Warming Up to Annuities Investment advisors are steadily increasing their use of immediate annuities for rollover dollars, according to a recent study by Cerulli Associates.
Registered Rep. March 31, 2015 Diana Britton	How Advisors Are Paid The ascendancy of fee-based compensation in the independent broker/dealer space continues.
Registered Rep. May 1, 2008	It's Okay to Outsource The number of financial advisors who say they regularly outsource at least a portion of the portfolio-construction process more than doubled to 34 percent in 2007, up from just 14 percent in 2006.
Registered Rep. October 1, 2012 Diana Britton	A Package Deal Most advisors would say they want to do what's best for their clients. But if that's the case, they better not manage their clients' money on their own; better leave that to the home office, new research from Cerulli Associates shows.