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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.   |
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. |
Registered Rep.
March 8, 2011
Diana Britton |
IBDs Dress Up Offerings For Hybrids Independent broker-dealers have lately been ramping up their efforts to attract hybrid advisors. |
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. |
Financial Planning
June 1, 2008
Elizabeth O'Brien |
Set Me Free LPL Financial staked a bigger claim on the independent advisor market last month with the announcement that the broker-dealer will allow its advisors to do business under their own RIA. |
Registered Rep.
February 7, 2012
Diana Britton |
Are Regulations Killing the Hybrid Financial Advisor? Some advisors say new compliance and regulatory burdens under Dodd-Frank are making the hybrid model untenable. |
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. |
On Wall Street
January 1, 2009
Vanessa Drucker |
Looking to Move On Many wirehouse advisors dream of independence -- will more actually move now? |
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
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 Planning
March 1, 2010
Donna Mitchell |
Open Season NFP Securities says it will become the first independent broker-dealer to offer hybrid advisors a single platform with complete open architecture, empowering advisors to ally with any major custodian they choose. |
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.
December 1, 2004
John Churchill |
If You're a Broker and You Know It As the holiday season approaches, the SEC is getting daily entreaties from registered investment advisors seeking an end to the broker/dealer exemption rule. |
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. |
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. |
Financial Advisor
May 2005
Raymond Fazzi |
Betwixt And Between Hybrid advisors work in both the fee-based and commission worlds. |
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.
April 2, 2012
Diana Britton |
Concert Breaks Into the Hybrid Market Via LPL Partnership RIA aggregator Concert Advisor Services has launched a new hybrid platform, Concert Advisors, and partnered with independent broker/dealer LPL Financial to provide brokerage and custody services. |
Financial Planning
June 1, 2007
Marshall Eckblad |
The United Way The FPA's unexpected victory could pave the way to new regulations that cover both brokers and investment advisors. |
Investment Advisor
September 2008
Melanie Waddell |
Striking While the Iron Is Hot Under the direction of Ron Fiske, Fidelity's HybridOne platform aims to serve the booming dually registered market. |
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
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. |
Financial Planning
July 1, 2009
Paul Menchaca |
Soft Landing Most Wall Street refugees are taking measured steps toward independence by joining an independent broker/dealer, rather than launching a registered investment advisory practice on their own. |
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
August 2008
Elizabeth D. Festa |
Springtime for Brokers Custodians and independent B/Ds roll out the carpet. |
Financial Advisor
July 2009
Sherri Scordo |
Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors. |
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 2005
Harold Evensky |
Unintended Consequences Brokers must forego the bells and whistles accompanying much of the current planning software if they wish to avoid having to register as investment advisors; however, that should not prevent them from appropriately using these analytics in arriving at suitable recommendations for their clients. |
Registered Rep.
March 1, 2008
John Churchill |
Fix Advisor Laws! Laws should reflect the fact that the differences between registered reps and registered investment advisors have largely evaporated. |
Financial Advisor
January 2006
Raymond Fazzi |
Declaration Of Independence More financial planners are leaving wirehouses to become fee-based RIAs. |
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.
October 1, 2002
David A. Geracioti |
Outgrowing the Series 7? Registered investment advisors must take the Series 65 exam. As the line between brokers and financial advisors blurs, what responsibilities do brokers that dispense advice and collect a fee based on assets have? |
Registered Rep.
September 1, 2010
Halah Touryalai |
Outgrowing the SERIES 7 There is a coveted cohort of dually registered advisors who are dropping their Series 7 licenses and leaving their b/ds behind. |
Financial Advisor
March 2006
Nancy Lininger |
Letters to the Editor The New Advisory-World Order: Commissioned reps have lost clients over the years to discount brokers, day traders and now, the divine fee-only advisor. Firms embracing fees and commissions, and offering the most services and compensation options, will be reborn. |
Financial Planning
January 1, 2010
Paul Menchaca |
Plains Vision Surrounded by nothing but miles of farmland are the offices of Cambridge Investment Research, a pioneer of the hybrid advisory model. |
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. |
Registered Rep.
March 1, 2003
Ross Tucker |
Fees? Sigh, Ho Hum Relatively few brokers are increasing their commitment to fee-based advisory practices, even in this everything-to-gain-from-change economic environment. |
Investment Advisor
February 1, 2011
Bob Clark |
An Old Dog Learns Some New Tricks Or a funny thing happened on the way to The Dodd-Frank Wall Street Reform Act. |
Investment Advisor
December 2009
Kathleen M. McBride |
B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard. |
Financial Planning
June 1, 2007
Bob Veres |
Victory, for Now Brokerage firms have little choice but to adapt to a world in which their traditional service -- clearing trades and executing transactions -- has become "solely incidental" to the increasingly valuable business of providing advice. |
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. |
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. |
Financial Advisor
January 2008
Tracey Longo |
Breakaway Brokers Despite being in business a shorter amount of time than the average advisor, breakaways have more assets under management, higher total revenues and a significantly higher growth rate. |
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. |
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.
February 3, 2011
Jerry Gleeson |
RIAs on the Recruiting Warpath: LPL's Morristown Financial Recruits 70 in 2010 Investors will refer their family and friends to their advisor if they're satisfied with the service. For financial practices that seek to recruit advisors, the game plays by much the same rules. |
On Wall Street
July 1, 2009
Helen Kearney |
The 'F' Word Stirs Up Controversy Advisors who fall under the new fiduciary standard, namely investment advisors who run a fee-based business, must always put clients' interests before of their own. |
Investment Advisor
February 1, 2011
John Sullivan |
Catching up with... Mark Mettelman For such a small firm, Norcross, Ga.-based Triad Advisors is surprisingly flexible. And it's paying off. President and CEO Mark Mettelman explains how they're doing it. |
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
September 2009
Melanie Waddell |
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away. |
