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Investment Advisor September 2007 Kathleen M. McBride	A Trend Confirmed? Advisory fees overtake commission revenue at Commonwealth. So what does this mean for the independent broker/dealer industry? Will other firms soon reach the point at which fee revenue dominates?
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.
Financial Advisor December 2007 Sydney LeBlanc	More Options, More Business Independent advisors recently got the opportunity of a lifetime -- the marriage made between fee-based advisory accounts and fiduciary accountability finally made headlines in the SEC repeal of Rule 202.
Registered Rep. April 1, 2007	Confronting the F Word Experts suggest that reps who ultimately become fiduciaries will require additional training. Simply holding various series licenses is probably not going to cut it. There are now more options than just a few years ago.
On Wall Street September 1, 2012 Elizabeth Wine	Financial Advisors Turn to the 401(k) Market for More Business Advisors look to 401(k) plans as fertile ground for business.
Financial Advisor November 2012 Jerilyn Klein Bier	No More Secrets New 401(k) fee disclosure rules could generate big opportunities for advisors.
Registered Rep. May 26, 2006 Halah Touryalai	NYSE Cautions Investors on Following Brokers to New Firms The release is part of the "Informed Investor" series developed by the NYSE Regulation to better educate investors. The announcement comes at a time when more reps are choosing to switch firms than at any time since 2002.
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 September 2008 Mike Sheets	Satisfying Your Self-Made Clients Some of the most challenging clients to help transition into retirement are business owners or career professionals who have had some success managing their own money during their working years.
Financial Advisor May 2005 Raymond Fazzi	Betwixt And Between Hybrid advisors work in both the fee-based and commission worlds.
Investment Advisor August 2005 Mark Tibergien	Formulas for Success: Independence Day There is a growing trend toward registered reps moving out of the wirehouse environment -- a trend invisible to most, but obvious to the country's leading custodians: they are actively wooing breakaway brokers.
Financial Advisor December 2005 Raymond Fazzi	Into The Black Hole Of 401(k) Consulting Advisors find that the need on the part of both sponsors and participants for professional and unbiased advice regarding 401(k) asset allocation and management is great.
Financial Advisor February 2007 David J. Drucker	The Retirement Dilemma Will your aging client base kill your financial advisory business?
Registered Rep. June 30, 2010 Christina Mucciolo	Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly.
Registered Rep. May 1, 2007	The Great Reckoning Whatever the specific business impact the Merrill Lynch ruling may have, many see the return to pre-1999 rules as a chance for the brokerage industry, which has long avoided fiduciary duty for business and regulatory reasons, to overcome those obstacles and embrace it.
The Motley Fool October 7, 2004 Robert Brokamp	Financial Predators Does your financial advisor care more about your retirement, or his? Look for a broker with whom you can trust and has beat a relevant benchmark after fees and taxes over a three-year period.
Registered Rep. June 3, 2010 Kristen French	For Fiduciaries, Fee Monitoring Gets More Scrutiny Advisors who act as fiduciaries have to keep a closer watch over fees and expenses than ever before.
Registered Rep. March 16, 2012 Kristen French	Wire Houses Minting Fiduciary Advisors -- Or Are They? None of the firms will go on record as to whom specifically in the rank and file is adopting the standard, nor will they provide much detail on what that training looks like.
Investment Advisor August 2010 Melanie Waddell	Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas.
Financial Advisor January 2006 Raymond Fazzi	Declaration Of Independence More financial planners are leaving wirehouses to become fee-based RIAs.
Financial Advisor June 2010 Stephen K. Davis	What To Do About The 401(k) How do we bring better investment success to the 401(k)? For one, participants need help from financial advisors.
Financial Advisor January 2006 Sydney LeBlanc	Embracing The F Word US Fiduciary offers a business model that is attracting ultra-high-end advisors who want to be fiduciaries.
Investment Advisor October 2007 Robert F. Keane	Transparency and Respect Full disclosure and a willingness to have the "hard conversations" are the cornerstones of Jim Dew's approach to his clients and the financial planning profession.
On Wall Street September 1, 2011 Nick Georgis	Taking The Hybrid Road As more advisors transition to independence these days, a growing number of them are choosing to adopt a hybrid business model that lets them conduct both commission-based brokerage business and fee-based advisory business. For many advisors, the hybrid road may offer the best of both worlds.
Financial Advisor May 2004 Raymond Fazzi	Niche Players Provide More Choices For Advisors Many are trying hard to differentiate themselves---and are succeeding.
Financial Advisor March 2012 Juliette Fairley	More 401(k) Avenues Demand is increasing for advisors who can help companies with their retirement plans.
Registered Rep. September 10, 2003 David A. Gaffen	Existing Clients Want More Advice The good news for reps is that the world doesn't hate you. The bad news is that acquiring clients -- particularly affluent ones -- is getting a lot more tough.
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
Registered Rep. July 24, 2012 Jerry Gleeson	Fee Disclosure - Can You Handle the Truth? New federal rules are forcing advisors to spell out what they're charging for running 401(k) plans and what their clients are getting for the money. It could lead to some difficult conversations.
The Motley Fool September 5, 2006 Dan Caplinger	How to Pick a Financial Advisor If you don't have the time or inclination to manage your finances on your own, it can be extremely beneficial to get help from an outside advisor. By following these basic suggestions, you can find a suitable advisor to keep you on the road to financial stability and independence.
Financial Advisor November 2009	Frontline News Advisor News: Poll on advisor pay... Citi Embracing Fee-Only Model... RIAs Set Record For Repurchasing Their Firms... FINRA Expands Arbitration Pilot Program... SEC Expects To Examine 9% Of RIAs Annually... more...
Investment Advisor January 2007 Savita Iyer	DC Advisor-Sponsor Matchmaker The relative lack of corporate advisors is a result of inertia on the part of plan sponsors; despite pronouncing themselves dissatisfied with their retirement plans, plan sponsors do not take the easy step of finding a new advisor.
Financial Planning October 2, 2007 Jack W. Callahan	Embrace Change Advisors have to adapt their practices to accommodate retiring clients.
Financial Advisor November 2008	Frontline News News for the Financial Industry: Tumult Could Expand Ranks Of RIAs... M&A Activity Remains Healthy... Independent B-Ds: Don't Tread On Us... Who Has The Most Satisfied Advisors?... The Business Of Serving Business Owners... etc.
Financial Planning January 1, 2011 Jonathan Beatty	Joining Forces Does your firm have the human resources infrastructure to recruit and integrate a new advisor or team of advisors?
Financial Planning May 1, 2013	Ameriprise's Don Froude: 'Take Care of My Family' For the head of Ameriprise Financial s Personal Advisors Group, the ultimate compliment is to have a client turn to his planner in time of crisis.
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.
Investment Advisor February 2007 Melanie Waddell	Clear Road Ahead Commonwealth's retirement platform, Preferred Portfolio Services Retirement Solutions, keeps financial advisors compliant with ERISA and PPA.
Investment Advisor December 2005 Melanie Waddell	Breaking Away Brokers are finding it easier than ever to go independent, aided by custodians and other independent advisors.
Financial Advisor September 2006 Andrew Gluck	Referencing Referrals While many financial advisors around the country struggle to bring in new clients and grow their businesses, others enjoy an embarrassment of riches -- they have so much new business they don't know how to handle it. Why?
Financial Advisor April 2007 David Lawrence	RIM Shot Service pricing is not the sole issue for today's financial advisors to deal with. There are several issues unique to Retirement Income Management practices that require attention.
Investment Advisor April 2008 Norman M. Boone	Getting Comfortable With Change Here are some communication tips for introducing change to your clients.
Financial Advisor November 2012 Mary Rowland	Tough Test An entrepreneur evaluates advisors for the wealthy. These families now have a "search firm" to perform due diligence on advisors and help the families find exactly the right one.
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.
Registered Rep. June 1, 2004 Kevin McKinley	Fee-ling Good Tips for financial advisors on establishing and maintaining fee-based relationships the right way.
Investment Advisor November 2007 Kathleen M. McBride	Migration Time Is repapering accounts for 202(a) the last straw for wirehouse reps?
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.
Financial Advisor November 2011 Jerilyn Klein Bier	Best-Laid Plans Advisors who've built substantial 401(k) practices share their strategies.
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.
Financial Advisor December 2005 Tracey Longo	The Art Of Being Ethical How financial advisors are turning their ethical approach into a marketing advantage.