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Registered Rep.
January 1, 2008 |
Top 50 Independent B/D Advisors Our list of the top broker/dealer advisors.   |
Registered Rep.
September 1, 2003
David A. Gaffen |
Giants Among us Debbie Jorgensen's book is pushing a half billion dollars, but the true measure of her success is this: She now gets to tell her company's bosses what to do. Jorgensen, with nearly two decades of experience at Merrill Lynch, has recently been appointed head of the firm's advisory committee to management. |
Registered Rep.
September 1, 2004
David A. Gaffen |
Clean Machines Not all of these Top 50 Advisors have spotless records, but their ability to build such huge practices speaks to how astute they are in avoiding the sorts of complaints that can bring an advisory to its knees. |
Investment Advisor
May 2010
Melanie Waddell |
At the Pinnacle This year's list of the top 50 women in wealth management. |
National Real Estate Investor
September 1, 2008 |
2008 ASHA 50 Owners American Seniors Housing Association's (ASHA's) list of the nation's largest seniors housing owners. |
Registered Rep.
October 20, 2006 |
Growing Pains AS tenant-in-common properties continue to flood the market, the industry is clearly working to boost demand for its product. One goal is to bring more licensed broker/dealers to the table. Another option is to broaden the target client base. |
Registered Rep.
November 1, 2007 |
The Top 20 Biggest Indies A list of the biggest independent broker/dealer firms, ranked by the number of reps working for them. |
National Real Estate Investor
September 1, 2008 |
2008 ASHA 50 Managers American Seniors Housing Association's (ASHA's) list of the nation's largest seniors housing managers. |
Registered Rep.
November 1, 2006 |
The Biggest Indie Platforms There are literally thousands of broker/dealers. Here is a list of the 20 largest: Linsco/Private Ledger... HD Vest Financial Services... Raymond James Financial Services... etc. |
Financial Advisor
June 2007
Raymond Fazzi |
Follow The Money Broker-dealers sum up the future of advisory services in two words: rich folks. |
Investment Advisor
September 2007
Lewis Schiff |
The Affluent and Retirement In addition to the details of a comprehensive advanced planning strategy, clients may worry about retirement -- how to live it and what it means to retire with significant assets. Retirement for advanced planning clients has evolved over the years. |
Financial Advisor
October 2006 |
Frontline News Many Planners Underwhelmed By Software... EISI Buys Financial Profiles... Affluent Ignore Retirement Planning, Survey Finds... Skip Viragh Award Goes To Evensky And Hopewell... Oxford Financial Names Investment Chief... etc. |
Investment Advisor
April 2009
Lewis Schiff |
Danger & Opportunity: Seling Wisdom Advisors with a wealth-management practice orientation can provide the kind of services affluent families need during difficult market times. |
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 Advisor
July 2005
Raymond Fazzi |
Defining Wealth Management The term "wealth manager" has provided more sizzle than clarity in recent years, as more and more advisors have adopted the name as they transition to more comprehensive practices geared toward affluent clients. |
Financial Planning
March 1, 2012
Mitchell et al. |
Hot Topics Raymond James Financial names Van Law president of RIA division... European countries join U.S. effort to join tax cheats... Younger investors less optimistic about retirement... more... |
Registered Rep.
March 6, 2006
Halah Touryalai |
The Independents There are literally thousands of independent broker/dealers. Here's a list of some of the largest by rep count: Linsco/Private Ledger... HD Vest Financial Services... Raymond James Financial Services... etc. |
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. |
Food Engineering
May 1, 2006 |
CSIA Food & Beverage Specialists Control System Integrators Association translates the "promise of technology into performance on the plant floor" for companies in all major manufacturing sectors. |
Registered Rep.
February 7, 2012
Diana Britton |
LPL Posts Record Revenue For Year, Despite Volatility While other firms suffered in the fourth quarter on slow client activity, LPL Financial announced earnings today of $39.4 million for the quarter, up $156 million from a net loss of $116.6 million in the fourth quarter 2010. |
| Registered Rep. |
The Top 30 Independent Broker/Dealers in 2015 The list below is comprised of the 30 largest IBDs ranked by average assets under management per advisor, as of 2014. |
Financial Advisor
January 2004
Tracey Longo |
Reversal Of Fortune Independent brokerage firms experienced a turnaround in 2003. |
Financial Advisor
February 2007 |
Advisor Emporium Commonwealth Releases New Programs... Raymond James Introduces Charitable Fund... Rydex Doubles Funds' Pricing Capabilities... MSC Starts 2007 Education Program... etc. |
Investment Advisor
May 2010 |
Thirty for Thirty Our list of the 30 most influential individuals in and around the planning profession over the last three decades. |
Financial Advisor
January 2006 |
Frontline News Independent Threat To Wirehouses Mushrooms... Seven Million Americans Working After Retirement... Retirement Income Association Is Formed... Most Americans Don't Know Investment Basics, Study Finds... etc. |
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. |
On Wall Street
September 1, 2012
Frances A. McMorris |
Editor's Letter: Wealth Management with a Personal Touch Things that financial advisors need to consider as baby boomers approach retirement. |
On Wall Street
June 1, 2011 |
The Leaders Speak The most influential leaders in wealth management today expound on evolution, revolution, moving the debate past wirehouse versus independent, and more. |
Financial Advisor
March 2007 |
Frontline News New Firm To Invest In Advisory Businesses... Morningstar Launches SMAs... Americans Tops In Retirement Saving... Focus Unveils Major Acquisitions... National Financial Had Record-Setting Year... etc. |
Financial Advisor
June 2010
Jeff Schlegel |
Who's Your Market? Some broker-dealers have niches that set them apart. |
Registered Rep.
March 31, 2015
Diana Britton |
Do You Consider Yourself a Fiduciary? A survey of broker dealers on this question. |
Registered Rep.
June 1, 2006
Kristen French |
The Wealth Management Quest Are you really a wealth manager? Do you know what the phrase really means? It pays to know, because a new compensation report shows only 8% of advisors -- across all business channels -- actually fit the bill. |
Investment Advisor
July 2006
Robert F. Keane |
Getting It All Done While for many advisors taking the wealth management route is a no-brainer, it's not without potential pitfalls. Wealth management covers much more than just how much money the client has. |
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 |
Frontline News Financial Advisor news: Building A Firm In Tough Economic Times... Keeping Up In An Evolving Space... Go South, Young Man... Wirehouses Still King Of The Hill... |
Financial Advisor
July 2006
Dorothy Hinchcliff |
Climbing A Stairway To Heaven As boomers age and spend their savings, financial advisors will need to adapt their practices. |
Financial Advisor
March 2008
Joel Bruckenstein |
Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers. |
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. |
Investment Advisor
March 2009
Melanie Waddell |
Cover Story: Patience In the quest to generate retirement income for their clients, many advisors relied on their investing-for-accumulation roots, and therefore were not focused on retirement income planning. |
Registered Rep.
October 5, 2010
Halah Touryalai |
Creating Your A-Team These days, there's no question that some of the most successful financial advisors in the industry are those who are part of a team. |
Investment Advisor
December 2005
Kathleen M. McBride |
Hybrid Vehicles? Mutual funds have brought Main Street into investing and been the lifeblood of most advisors' practices. In the future, will there be a better way to invest? |
Financial Planning
June 1, 2012
Ackermann et al. |
Hot Topics Ultrawealthy increase allocation to aternative investments... Independent broker-dealers struggling to survive... LPL nabs $560M team... |
Financial Advisor
October 2008 |
Advisor Emporium The latest news from six well known names in the investment management and advisory industry. |
Financial Advisor
July 6, 2010 |
Frontline News LPL IPO: Whoopee Or Big Whoop?... The UnCOLA... Doomsday Investing... Canadian Advisors Ranked Low On Ethics... more... |
Investment Advisor
December 2007 |
Upgrades LPL Financial Services has partnered with Fiduciary360... Kochis Fitz of San Francisco and Quintile Wealth Management of Los Angeles say they will merge... etc. |
Financial Advisor
March 2012 |
Keeping Up In An Evolving Space Scalability. Profit pressures. Self-directed investing. Increased use of mobile applications. These are some of the trends to watch in the financial advisor industry in coming months. |
Registered Rep.
July 22, 2010
Christina Mucciolo |
Raymond James Financial and Wells Fargo Retail Brokerage Units Hang In There A report on earnings from two major financial firms. |
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 Planning
March 1, 2012
Donna Mitchell |
LPL Aims High In its earning call last month, LPL Investment Holdings shared strong performance numbers for fourth-quarter and full-year 2011. |
Financial Advisor
June 2005 |
Frontline News Advisors May Be Selling Their Own Firms Short... SEI To Open Franchises Targeting The Affluent... Acquisition Fever Hits Advisory Business, As Edelman Sells... Senior Citizen Advisor Certification Program Set To Begin... etc. |
