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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.
Registered Rep. May 1, 2012 Jerry Gleeson	60 Seconds: Catherine A. Saunders Catherine A. Saunders was named about three years ago to lead a product sales drive to fee-based RIAs.
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 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 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 Planning May 1, 2011 Donna Mitchell	Hybrid's New Groove Registered investment advisor firms looking for ways to expand their businesses might try turning to broker-dealers for a boost.
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. 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. December 4, 2012 Jerry Gleeson	A Lifestyle Choice REP.'s recent "Practice Management" study shows that RIAs tend to use coaches less than counterparts in other channels. Are time and money constraints the reason?
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. June 1, 2007	All About the Benjamins Reps say the darndest things.
Registered Rep. January 25, 2010 Halah Touryalai	LPL's New RIA Platform Rakes in Assets Since launching the platform in October 2008 through the end of 2009, the firm gathered $7.3 billion in assets.
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 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 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.
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. 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.
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 30, 2015	The State of Independence: Intelligent Advisor The survey covers over 360 registered investment advisors.
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 January 1, 2013 Donald Jay Korn	Top Custodians: Battling for Custody Custodians try different strategies for growth as advisors break away to join RIA firms.
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.
Investment Advisor May 2009 Kelli Cruz	Walk On The trend of wirehouse advisors joining the independent RIA channel has ramped up significantly in the last several years, and is only increasing in the wake of Wall Street's epic meltdown.
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.
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.
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.
Financial Planning April 1, 2010 Donna Mitchell	Going for Growth As RIAs gear up to grow their practices this year, they are doing more than scooping up unhappy wirehouse clients. They have identified three major strategies: increase spending on marketing, more technology, and improve client service.
Registered Rep. February 23, 2010 Halah Touryalai	Clients, The New Breakaways First, there was the breakaway broker phenomenon; now, it seems, we have a growing vogue of breakaway clients -- former wirehouse investors who ditch their old advisors for new ones at independent RIAs or broker/dealers.
Registered Rep. July 29, 2010 Halah Touryalai	RIAs Keep Up M&A Momentum RIAs continue to buy and sell their businesses this year as M&A deals in the industry reach record levels.
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.
Registered Rep. July 11, 2011 Diana Britton	BCG: RIA Channel Poses Opportunity, Challenge for Asset Managers Given its size and growth, the registered investment advisor channel is a critical market for asset management firms who want to grow, but the fragmentation of the RIA market also poses a challenge for asset managers.
Financial Advisor January 2006 Raymond Fazzi	Declaration Of Independence More financial planners are leaving wirehouses to become fee-based RIAs.
Registered Rep. October 29, 2009 Kristen French	RJFS Raises RIA minimums, LPL Pulls Past RJ in RIA Assets Raymond James is raising minimums for new RIAs who want to custody assets on its RJFS-IAD platform from $30 million to $50 million.
Registered Rep. September 16, 2011 Jerry Gleeson	RIA Interest in Financial Planning Grows, Industry Data Suggests Financial planning activities are playing a growing role in the service offerings of registered investment advisors.
Registered Rep. July 16, 2009 Halah Touryalai	Schwab Profits Down for Q2 But Keeps Adding Breakaway Brokers Charles Schwab reported that its second quarter profit fell 31 percent, thanks to low interest rates and soft capital markets, but in the meantime the company has added 74 breakaway advisors to its RIA platform.
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.
Financial Advisor March 2012 Bernie Clark	The Changing RIA Advisors need to start thinking bigger and go beyond their current capabilities.
Registered Rep. September 22, 2008 John Churchill	Wall Street's Pain Is RIAs' Gain: Reps Flee Wirehouses, Bring Assets to Fido And Others Despite the still-outsized signing bonuses offered by most Wall Street firms, the steady trickle of brokers leaving wirehouse firms to join or form their own RIA firms is growing.
Financial Planning August 1, 2010 Donna Mitchell	Who's Planning? A study by Boston-based AiteGroup found that only 18% of independent advisors make financial planning the center of their practice.
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.
Investment Advisor March 2010	More Advisors Embrace Alternatives Advisors are increasingly turning to alternative investments, not as a source of outsized returns, but rather to provide true diversification to clients' portfolios.
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.
Registered Rep. February 13, 2012 Jerry Gleeson	Raymond James Ramping Up Its RIA with New Leadership, Investment The new president, Bill Van Law, said the company plans to make a significant investment in the business in the months ahead.
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.
Financial Advisor July 2010 Eric Rasmussen	More Refined In 2009 RIA assets surged in 2009, but companies were still nursing a hangover from the crazy recession ride.
Registered Rep. April 23, 2010 Halah Touryalai	Compensation Key To Breakaway Recruiting Pitch RIA principals and consultants discuss strategies for wooing and hiring advisors from various different kinds of firms.
Registered Rep. September 3, 2009 Mindy Diamond	Talking To Clients About Breaking Away Here are some starting points for advisors to begin a conversation with clients about deciding to establish themselves as an RIA or joining an existing one.
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. April 7, 2011 Kristen French	Switching To Independent Model Keeps Up Pace Migration to the independent financial advisor model -- independent b/ds and RIAs -- is likely to continue unabated in 2011.