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Registered Rep.
May 27, 2015
Megan Leonhardt |
Compensation Survey 2015: Breaking Down the Practice Are the firms that serve advisors ready to support a team-based, ensemble model?   |
Investment Advisor
March 1, 2011
Mark Tibergien |
Multiple Choice Options abound for creating liquidity and funding growth in your advisory business, but do your research before making the choice to sell your firm to a consolidator. |
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. |
Financial Advisor
August 2005
Evan Simonoff |
The Advisory Profession Revisited A new study paints a bleak future for small financial advisory firms, while arguing that the larger the firm the greater its number of strategic options over the next decade. |
Investment Advisor
September 2005
Bob Clark |
Clark at Large: Can't Tell a Book... For all its flaws, Mark Hurley's new treatise, Back to the Future: The Continuing Evolution of the Advisory Business, offers advisors some valuable insights. |
Financial Advisor
August 2006
Tracey Longo |
Late Summer Recruiting While the recruiting party will get tougher some day for broker-dealers who cater to independent advisors and reps, for now they are enjoying their competitive advantage: They give brokers and advisors who want to own their own business the chance to do that. |
Financial Advisor
January 2005
Tracey Longo |
How Fee-Based Programs Led 2004 Brokerage Profits Fee-based profitability is not lost on brokerage executives, who are ramping up programs designed to attract more planners to a fee-based business model and away from traditional commissions. |
Financial Advisor
February 2008 |
Frontline News News of interest to the financial advisory industry: Fiduciary Network Buys Stake In Brouwer, Janachowski... Morningstar Names Top Fund Managers... Advisors Gather At Tech Show... State Of The Industry... etc. |
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. |
The Motley Fool
February 3, 2010
Amanda B. Kish |
This May Save the Mutual Fund Industry Finally, investment advisors are wising up. An ongoing change in how many financial advisors get paid is having broad implications for the business. |
Financial Advisor
August 2012
Karen DeMasters |
The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers. |
Financial Advisor
March 2004
Evan Simonoff |
Editor's Note Virtually none of the several dozen advisors I spoke with was dissatisfied with the state of their business. At least if they were, they weren't saying so. |
Registered Rep.
October 1, 2005 |
60 Seconds with Bill Carey (Head of Fidelity's RIA group) The former president of Fidelity's institutional retirement business and a 12-year veteran of the firm talks about his plans for the advisory unit and the challenges confronting advisors. |
Investment Advisor
June 2007
Bob Clark |
The Art of the Deal Advisors who don't understand where those astronomical practice values are coming from are doomed to get what they deserve. |
Registered Rep.
March 30, 2011
Matt Matrisian |
Bridging the Succession-Planning Gap Too many advisors need help planning their financial futures. Today, only about 18 percent of independent advisors have a well-defined business succession plan that is ready to implement. |
Investment Advisor
April 2007
Bob Clark |
Walkin' the Walk Mark Hurley's new firm, Fiduciary Network, offers an alternative to advisory firms that don't want to be consolidated. |
Financial Advisor
February 2010
Sherri Scordo |
Frontline News Financial Services News: Branch Managers Break Away To Independence... Call For Fiduciary Standard Unites Disparate Forces (Sort Of)... Independent Contractor Status Under Review... Retirement Planning Industry To Be A Top Performer In New Decade... more... |
Financial Advisor
September 2009
Evan Simonoff |
The Acquired Advisor's Long, Hot Summer Tensions between advisors and consolidators are producing on-the-job retirements at some firms. |
Investment Advisor
October 2006
Bob Clark |
Swimming With The Sharks Read the fine print before selling your financial advisory firm to a strategic buyer. |
Financial Planning
August 1, 2010
Bob Veres |
The Equity Problem A new report offers two kinds of advice: how to build enterprise value in your firm, and how to evaluate deal structures when you eventually decide to transfer ownership. |
Registered Rep.
June 1, 2005
Kristen French |
Fido Attacks! Long a distant second to Charles Schwab in the lucrative business of serving financial advisors, Fidelity is making an aggressive push to close that gap. And some advisors are taking notice. |
Financial Planning
April 1, 2008
Bob Veres |
The Myths of Our Age These days, the planning profession seems to be caught in a web of myths and half-truths, which make it difficult for us to talk about a lot of issues. Here are some common myths regarding the financial planning industry. |
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. |
Financial Advisor
May 2005
Lavine & Liberman |
Uncertain Future The Fidelity Executive Forum raises issues about where the money management industry is headed. |
Registered Rep.
December 2, 2008
Halah Touryalai |
RIA Consolidators Going After Wirehouse Reps RIA holding companies are opening their arms to welcome wirehouse advisors, but only the cream of the crop: those who have significant assets under management and heavily fee-based books. |
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 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
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. |
Financial Advisor
April 2008
Evan Simonoff |
The Big Chill While the financial advisor community and their clients have avoided most of the mortgage-related problems, advisory firms' merger and acquisition activity is suddenly becoming a victim of fixed-income market paralysis. |
Financial Advisor
July 2010
Evan Simonoff |
Are Advisors Delusional? Fiduciary Network CEO Mark Hurley says they are because they believe their firms are very valuable -- but most aren't. |
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. |
On Wall Street
October 1, 2008
Danny Sarch |
Seven Reasons Why Advisors Move A firm that's hemorrhaging money isn't the only reason advisors leave. Company polices and management attitudes also play a part. |
Investment Advisor
October 2005
Mark Tibergien |
Formulas for Success: How Bleak is Your Future? Whether the latest Hurley/JPMorgan treatise on the financial advisory profession is right is hard to know, but their assumptions are compelling enough for advisors to take stock of their own situations. |
Financial Planning
June 1, 2013
Matt Ackermann |
United Capital's Joe Duran: Imitating Starbucks The CEO of United Capital plans a nationwide network of planners with a consistent look and feel. |
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 Advisor
April 2007
Evan Simonoff |
Mania In Bloom? A newfangled type of acquirer has entered the financial advisory market. So, how good and fair are these deals? It's obvious that the transactions can work well for the founders, but how about their successors? |
Financial Planning
October 1, 2012 |
Women Advisors Forum/Boston: Upgrade Your Practice If you're a woman with an advisory career - either at an RIA, a wirehouse, a regional brokerage or a bank - this forum is your opportunity to rub elbows with other high-ranking women advisors. |
Investment Advisor
January 2008
Bob Clark |
Part of the Solution For financial advisors, a fund you run yourself (with help) can solve some thorny issues. |
Registered Rep.
February 25, 2013
Furey & Cooper |
What Is Your Advisory Practice Really Worth? The perils of the valuation gap. |
Registered Rep.
August 9, 2010
Susan Konig |
How One BOM Retains Top FAs The dizzying industry turmoil of the last few years has induced wirehouses to offer their top producers some of the largest retention packages ever. |
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. |
Financial Advisor
August 2007
Jeff Schlegel |
Private-Equity Payout The private-equity tsunami that's sweeping the investing world isn't exactly inundating the financial advisory industry, but it is making waves. |
Financial Planning
August 1, 2008
David Grau |
Worthy Successors In the financial services industry, the general term "succession planning" describes any number of plans to deal with an owner's departure from the business. |
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. |
Financial Planning
March 1, 2007
David J. Drucker |
Think Small We've all heard the warnings: small advisory firms, often labeled "lifestyle" practices, will eventually be a thing of the past. But great, profitable practices can still come in small packages. |
Financial Planning
May 1, 2012
John J. Bowen, Jr. |
Borrow From the Best One of the best ways to learn what it takes to succeed in our business is to look at the best practices of elite financial advisors who are enjoying tremendous success in the marketplace. |
Financial Planning
June 1, 2008
Donald Jay Korn |
All Systems Go Clients and income hold steady in the financial services industry. |
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... |
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 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. |
