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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 January 2007 Tracey Longo	Allure Of Independence Remains Bright Independent broker-dealers step up their recruiting efforts among reps and the already liberated.
Financial Advisor August 2006 Tracey Longo	Late Summer Recruiting While the recruiting party will get tougher some day for broker-dealers who cater to independent advisors and reps, for now they are enjoying their competitive advantage: They give brokers and advisors who want to own their own business the chance to do that.
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 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 July 1, 2006 Donald Jay Korn	What's in it for YOU Broker-dealers are ramping up their recruiting efforts and courting top planners. Here's what they're looking for -- and what they're putting on the table.
Financial Advisor January 2004 Tracey Longo	Reversal Of Fortune Independent brokerage firms experienced a turnaround in 2003.
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.
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 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 June 1, 2011 Donald Jay Korn	FP 50: Revenue Rising The money stream is flowing again: After two years of stagnant or, worse, shrinking revenue, the 50 largest independent broker-dealers report their annual revenues rebounded last year - significantly in many cases.
Financial Advisor November 2010 Bruce W. Fraser	Out Of Retrenchment Independent broker-dealers see good recruiting opportunities in 2011.
Financial Planning June 1, 2008 Donald Jay Korn	All Systems Go Clients and income hold steady in the financial services industry.
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 Planning June 1, 2009 Paul Menchaca	Oh, the Drama The broker-dealers who spoke to Financial Planning in this year's annual survey are busy negotiating the downturn by improving their infrastructure, expanding through recruitment and eyeing an economic rebound.
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.
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.
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 Planning June 1, 2010 Paul Menchaca	Tale of a Tough Year What the numbers show: a dramatic seven-month stock market rally was not enough to help most of the top 50 broker-dealers counter the aftershocks of the financial crisis.
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 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. December 1, 2005 Kevin Burke	Edward Jones: Whistle While You Work According to survey results, financial advisors working at this financial firm seem to be living a charmed life. Here's why.
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 June 1, 2007 Marshall Eckblad	FP50: Behind the Numbers Revenues among the top 50 broker-dealers soared, costs fell and reps took home more money than ever. But the biggest winners in this year's survey were fee-based products.
Financial Planning June 1, 2008 Stacy Shultz	Lookin' Good, Broker Dealers As baby boomers approach retirement, some believe there could be no better time to be in the financial services industry.
Financial Advisor December 2009 Eric Rasmussen	Big Guys Fight Back Broker-dealers try to find their bearings in 2010 as their antagonists push back.
Financial Planning June 1, 2008 Philip Palaveev	Be Careful What You Wish For Understanding the advisor and independent broker-dealer relationship.
Financial Advisor November 2011 Jeff Schlegel	Back In Gear After a slow period, recruiting is revving up again among broker-dealers.
Financial Planning June 1, 2010 Paul Menchaca	Survivor Island Firms that endured the worst of the financial crisis and lived to tell about it.
Investment Advisor May 1, 2011 Janet Levaux	Securities America Denies Charges of Departing Reps Anonymous sources insist advisors are leaving or planning to leave the firm
Financial Advisor February 2006 Joel Bruckenstein	Rep Tech A broker-dealer's technology can play a key role in a rep's success and satisfaction. Perhaps independent reps should regularly compare the technology that their B-D offers against what leaders in the field have to offer.
Financial Advisor March 2008 Joel Bruckenstein	Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers.
Financial Planning July 1, 2006 David J. Drucker	Fee-Based Confusion Cambridge, Commonwealth and Securities America aren't your father's broker-dealers. Although they count reps of all compensation stripes within their ranks, they're clearly leading the new generation to a more professional business model.
Registered Rep. April 24, 2009 Halah Touryalai	Raymond James Takes a 2Q Hit -- But Gains Retail Advisors Raymond James Financial posted dismal overall earnings for the second quarter, but its private client group appears to be a bright spot.
Financial Planning June 1, 2011 Scott Wenger	Help Wanted The rising tide of the markets lifted virtually all boats among independent broker-dealers last year -- at least 82% of the firms in our 26th annual FP50 Survey reported revenue growth. Great time to have been looking for a job as an advisor, right?
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.
Financial Planning June 1, 2006 Joan Warner	FP50: Where the Growth Is With their market share growing 20% a year and the boomer generation's accumulated treasure to deploy, independent broker-dealers are on a prosperous path.
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 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.
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 Advisor April 2005 Tracey Longo	Winning Over Wirehouse Brokers AIG's transition suites help brokers become independent.
Registered Rep. February 18, 2009 Halah Touryalai	LPL's New RIA Offering Lookin' Healthy; But Still A Pipsqueak Compared To Rivals There are some folks in the industry actually doing relatively well these days. Seriously. LPL Financial said today its new-ish RIA platform now has over $1 billion in new assets.
Financial Advisor June 2006 Tracey Longo	Is Any Stone Unturned? Is the NASD's regulatory clampdown over? Major changes are in place at the sales force level.
Financial Planning November 1, 2009 Paul Menchaca	LPL: "We've Arrived" Twenty years after the San Diego-based company was formed through the merger of Linsco and Private Ledger, LPL appears to have lapped its rivals, leaving nothing in its rearview mirror.
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.
Registered Rep. March 28, 2006 David Geracioti	Broker/dealer Recruiting and Retention (Transcript from "New York Times Job Market Roundtable" with Registered Rep.) Best Practices in Recruitment and Retention of Financial Planners -- a roundtable discussion with industry experts on the evolving role of the financial advisor.
Investment Advisor January 1, 2011 Marlene Y. Satter	Sitting Tight 2010 will be remembered by broker/dealer recruiters as 'The Year of Going Nowhere.'
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 August 2009 Eric Rasmussen	Wish Upon An 'IAR' RIA or IAR? Registered investment advisor or independent advisor representative; the anagram you choose will depend on how big you are and how independent you want to be.
On Wall Street July 1, 2012 Donald Jay Korn	Ranking Wirehouses, Regionals Working the Employee Advisor Business A recent report from Cerulli Associates criticized the wirehouses for focusing on higher net worth clients. The result was that these firms were giving away the middle market (investors with $100,000 to $500,000 of assets to invest) to competitors.