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Financial Advisor
August 2012
Jon Beatty |
A Promising Road Advisors are enjoying strong growth despite significant challenges in the financial markets.   |
Financial Advisor
August 2005
Evan Simonoff |
The Advisory Profession Revisited A new study paints a bleak future for small financial advisory firms, while arguing that the larger the firm the greater its number of strategic options over the next decade. |
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. |
Investment Advisor
October 2008
Maya Ivanova |
War Room How the most successful advisory firms are mitigating risk on two fronts: for their clients, and for their own businesses. |
Registered Rep.
April 9, 2003
David A. Gaffen |
Pretty Practice Prices If there's any evidence that financial advisors with smaller practices are leaving the business, FP Transitions has found it. According to the firm, the concentration of small practices (less than $300,000 in revenues) for sale has increased to 68 percent in 2002 from 42 percent in 2001. |
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. |
Financial Planning
April 1, 2007
Kathy Gevlin |
How Are You Doing? If you were to take a step back right now and ask yourself how well your financial advisory practice was meeting your objectives, what would your answer be? What are the successful ones doing right? Consider the following questions. |
Registered Rep.
September 20, 2013
Diana Britton |
RIA Margins Continue to Suffer Last year was a relatively good year for the markets; the S&P 500 was up 16 percent. Yet profit margins at registered investment advisor firms continue to fall, according to WealthManagement.com's 2013 AdvisorBenchmarking RIA Trend Report |
Investment Advisor
December 2005
Bob Clark |
Why Bigger is Better This compensation and staffing study offers a preview of how financial advisory firms will be different five or 10 years from now. |
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 2007
Rebecca Pomering |
Four Horsemen Who Missed Their Appointment Things were pretty good for the profession in 2006, but will financial advisors be hearing the hoof beats soon? |
Investment Advisor
November 2009
James J. Green |
Advisors Need to Think More Broadly, Act More Creatively In the tenth iteration of the Rydex AdvisorBenchmarking study lessons from the crisis can be gleaned. |
Registered Rep.
July 8, 2015
Jerry Gleeson |
No Slowing RIA Growth In the financial advisory industry there are potential regulatory burdens, fickle investors, and crafty competitors -- but nothing has changed the relentless march of the registered investment advisor space since the 2008 crash. |
Investment Advisor
October 2010
Angela Herbers |
Show Yourself the Money Advisors need to learn to pay themselves first |
Financial Planning
October 1, 2010
J. Scott Slater |
On Beyond AUM More advisors should look to drive additional revenue from charging separate fees for value-added services. |
Financial Planning
June 1, 2008
Stacy Schultz |
More Than Equal A study of the role of the female financial advisor. The research compares female to male advisors and looks at the varying performance levels of women advisors. |
On Wall Street
June 1, 2012
Sasha Franger |
Deciphering Fund Fees Profitability is an important consideration for investors and investment advisors. It can help investors and investment advisors judge whether or not a firm has the ability to invest in its own business, one indication of the soundness of the business. |
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.
July 5, 2011
Jerry Gleeson |
Schwab Finds RIAs Posted Record 2010 Revenue, AUM Average profits surged 45 percent last year among registered investment advisors surveyed, but don't look for a repeat of this year. |
Financial Planning
September 1, 2007
Elizabeth O'Brien |
Advisor Pulse Advisor, advise thyself! A recent survey finds that most advisors did not understand the market value of their business or have a succession plan. |
Financial Planning
October 1, 2006
Marshall Eckblad |
Advisor Pulse The registered investment advisor market continues to add assets at a hefty rate. |
Registered Rep.
June 2, 2015
Megan Leonhardt |
Compensation Survey 2015: The Slowly Disappearing Commission Moving from a commission-based business to one based on fees, advocates argue, removes conflicts and puts advisors on the same side of the table as their clients. |
Registered Rep.
February 2, 2011
Diana Britton |
RIA M&A Hits Record in 2010, More To Come In 2011 Registered investment advisory firms were furiously busy getting hitched last year: they did the highest number of merger and acquisition deals recorded in at least seven years. |
Financial Advisor
November 2006
Tracey Longo |
Is The Price Right? When it comes to pricing, many financial advisors are nowhere near as efficient and profitable as they could be. |
Registered Rep.
March 1, 2006
David A. Geracioti |
To Increase Revenue Increase Time Spent With Clients Clients are happier when financial advisors pay close attention to them, and new research suggests that this can manifest itself in more business. |
Financial Advisor
March 2012
Bernie Clark |
The Changing RIA Advisors need to start thinking bigger and go beyond their current capabilities. |
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. |
Investment Advisor
August 2007
Maya Ivanova |
A Victim of Success? A recent survey of registered investment advisors reports that while advisors recognize that marketing is a key component of their business, few devote enough time to this vital activity. |
Investment Advisor
July 2006
Maya Ivanova |
Power of the People With the proper guidance, training, and nurturing, your employees can expand your firm's presence, networking opportunities, and pool of referrals and help you grow your financial advisory firm. |
Investment Advisor
September 2005
Bob Clark |
Clark at Large: Can't Tell a Book... For all its flaws, Mark Hurley's new treatise, Back to the Future: The Continuing Evolution of the Advisory Business, offers advisors some valuable insights. |
Registered Rep.
September 30, 2009
David A. Geracioti |
Do Retail Financial Advisors Have an "Unhealthy Focus?" The Financial Times suggests the way financial products and services are sold need to be completely overhauled. |
Financial Planning
October 1, 2011
James L. Poer |
Smooth Operator Many investment advisors are missing the possibility of growing their businesses, increasing client face time and saving on staffing costs. All it takes is a forward shift in how they employ technology. |
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. |
Investment Advisor
January 2008
Bob Clark |
Part of the Solution For financial advisors, a fund you run yourself (with help) can solve some thorny issues. |
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. |
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. |
Investment Advisor
November 2007
M. Ivanova & L. Klash |
Small Is Beautiful One-size practice management doesn't fit all, as the most profitable firms know well. Many smaller firms can, and do, enjoy a great deal of success without reaching the lofty AUM goals that have become the industry standard. |
Financial Planning
February 1, 2010
Stephanie Bogan |
Make 2010 Your Best year Ever Quantuvis Consulting's new study of business performance has strategies for every advisor, regardless of size, business model, or philosophy. |
Financial Advisor
August 2009
Jeff Schlegel |
Still Optimistic Most advisors are satisfied with their growth, but intense workloads and lousy markets have caused dissatisfaction to rise. |
Financial Advisor
January 2004
Dorothy Hinchcliff |
Custodians Are Knocking More custody players have been clamoring for the business of registered investment advisors, and that trend will continue this year, say two well-known research firms for financial institutions and investment managers. |
Registered Rep.
May 27, 2015
Megan Leonhardt |
Compensation Survey 2015: Breaking Down the Practice Are the firms that serve advisors ready to support a team-based, ensemble model? |
Registered Rep.
June 3, 2015
Megan Leonhardt |
Compensation Survey 2015: How Advisors Stack Up Advisors whose business mix leans more toward fees make almost twice as much as those who still lean heavily toward commissions, according to data collected in WealthManagement.com's compensation survey. |
Investment Advisor
January 2008
Melanie Waddell |
A New Benchmarking Tool's in Town There's a new benchmarking tool that gives advisors a snapshot of what competitors and colleagues in their backyards are up to: the FPA Scorecard. |
Investment Advisor
November 2009
James J. Green |
Numerology: Fewer Assets, More Advisors Total assets managed by investment advisors shrank in 2008 but the number of SEC-registered investment advisors increased. |
Financial Planning
May 1, 2010
Stephanie Bogan |
Model Performance One way to understand advisory industry issues and trends is to look at key practices by business model, affiliation model and practice model. Our recent study does just that. |
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. |
Registered Rep.
February 29, 2012
Jerry Gleeson |
It's a Tough Route for Younger Advisors Anew report by Charles Schwab, which shows that advisors under the age of 40 are more likely than their older peers to feel pressure to grow their book of business, or to focus on selling proprietary products. |
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. |
Financial Planning
November 1, 2008
Michael A. Bell |
Time Is Money When asked what their greatest challenge is, virtually all advisors say it's not product complexity -- or even the regulatory landscape -- that causes the most stress. It's lack of time. |
Investment Advisor
June 2010
Mark Tibergien |
New Challenges for Achieving Critical Mass Critical mass for an advisory firm, traditionally $5 million in annual revenue, is creeping up. |
