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Investment Advisor
September 2008
Eric Schwartz |
B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future.   |
Investment Advisor
September 2008
James J. Green |
You're the Tops In a comprehensive face-to-face discussion, the leaders of the Broker/Dealers of the Year explain their firms' unique charisma and how they plan to remain at the summit of their professions. |
Investment Advisor
June 2008
Philip Palaveev |
The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive. |
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. |
Investment Advisor
June 2006
Kathleen M. McBride |
Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways. |
Investment Advisor
October 2008
James J. Green |
Is Consolidation Finally Here? Several recent deals for mid-sized independent broker/dealers raises the question. |
Investment Advisor
March 2010
James J. Green |
Broker/Dealer Briefing: Independent Broker/Dealers Celebrate Earned Credibility The Financial Services Institute lays out its agenda, starting with preservation of independent contractor status. |
Investment Advisor
March 2009
James J. Green |
The FSI's Priorities Now While the members of the Financial Services Institute compete fiercely with each other in many areas -- within FSI they have subsumed their differences in favor of promoting the common agenda of broker/dealers. |
Investment Advisor
September 2007
James J. Green |
Leading the Way The leaders of the 2007 Broker/Dealers of the Year reflect their reps: optimistic, opinionated professionals whose business savvy is growing in a challenging environment |
Investment Advisor
September 2007
Kathleen M. McBride |
Around the Table The leaders of the 2007 Broker/Dealers of the Year speak frankly about their challenges and opportunities. |
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. |
Investment Advisor
June 2009
James J. Green |
Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive |
Investment Advisor
June 2008
Kara P. Stapleton |
Power of the Platform LPL will build a custodial offering for its own -- and outside -- RIAs. |
Investment Advisor
September 2009
James J. Green |
How the Representatives Voted The year 2009 marked the 19th time that Investment Advisor asked its readers who are representatives of independent broker/dealers to rank their own B/Ds on 14 discrete categories, along with an overall rating. |
Registered Rep.
March 1, 2006
Kristen French |
The Best of Both Worlds Advisors say the broker/dealer-RIA hybrid model gives them freedom to choose what products, services and fees are best for their clients. |
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. |
Investment Advisor
March 2006
Melanie Waddell |
The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable. |
Investment Advisor
May 2008
Melanie Waddell |
Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers. |
Investment Advisor
June 2008
Kathleen M. McBride |
Independents' Optimism Broker/dealer advisory board members say things are looking up in the industry. |
Investment Advisor
September 2008
Bob Clark |
Who's Your Daddy? Philip Palaveev's new gig as president of Fusion Advisor Network foreshadows the future of independent advice. |
Investment Advisor
August 2008
James J. Green |
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady |
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. |
Investment Advisor
June 2009
Russ Diachok |
Coming to an RIA Near You One of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers. |
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? |
Investment Advisor
September 2010
Green & Sullivan |
Optimists: The 20th Annual Broker/Dealers of the Year Any broker/dealer that isn't getting into continuity planning better hurry up or they'll be out of business. |
Investment Advisor
December 2007
Angela Herbers |
Bottom Up Broker/dealer recruiting is largely a zero sum game. Here is why it more advantageous for B/Ds to help their existing advisors. |
Investment Advisor
March 2008
James J. Green |
Coming Out Party Only fours years after its inception, the Financial Services Institute has achieved a high level of success as the primary advocacy group for independent broker/dealers. The recent FSI gathering was the broker/dealer group's biggest ever. |
Investment Advisor
May 2006
Murphy & Green |
Breaking Away As the number of breakaway brokers continues to rise, broker/dealers and custodians have implemented programs designed to make the broker's transition to independence as seamless as possible. |
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. |
Investment Advisor
November 2009
James J. Green |
Editor's Note: At Least One Booming Market One sector of the economy appears to be booming and that's the survey industry. |
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.
March 31, 2015
Diana Britton |
How Advisors Are Paid The ascendancy of fee-based compensation in the independent broker/dealer space continues. |
Registered Rep.
April 1, 2013
Diana Britton |
The New Face of The Fiduciary Just when the industry thought it didn't have to worry about the DOL, the agency has made it clear that its fiduciary standard is imminent. For registered reps and RIAs alike, it could change the game. |
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.
November 1, 2007 |
Sure is a Good Time to be a Financial Advisor Broker/dealers and registered investment advisories are searching for advisor talent as never before. In fact, advisory firms are competing for talent even more than they are competing for clients. |
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. |
Investment Advisor
September 2009
James J. Green |
Where Representatives Would Go This year, more than many others, many representatives of broker/dealers are reassessing their options when it comes to with whom, and how, they will affiliate. |
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. |
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? |
Investment Advisor
March 2009
James J. Green |
Broker/Dealer Briefing: A Shot Over the Bow FINRA is quietly conducting a sweep of broker/dealers that could be the first steps to having the SRO take over regulation of registered investment advisors from the SEC -- something the former NASD has long desired. |
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. |
Investment Advisor
September 2008
Melanie Waddell |
Whither the Independent B/D? Securities America's acquisition of Brecek & Young is yet another sign of dwindling independent broker/dealers. |
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. |
Investment Advisor
February 2008
Melanie Waddell |
A Busy Year in Washington Now that the Rand report assessing the advisory and broker/dealer industries has been released, No doubt advisors and brokers will be anticipating any possible regulatory actions that the SEC may take. |
Investment Advisor
July 2009
Melanie Waddell |
Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures. |
Registered Rep.
February 2, 2006
Kristen French |
Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest. |
Registered Rep.
December 2, 2014 |
Best of the Best 2014 Unlike many of our competitors, we are as transparent as possible about our criteria and methodology when publishing a ranking. |
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.
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. |
Investment Advisor
September 2009
Melanie Waddell |
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away. |
