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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 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 August 2008 Elizabeth D. Festa	Springtime for Brokers Custodians and independent B/Ds roll out the carpet.
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. 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.
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.
Registered Rep. September 22, 2008 John Churchill	Wall Street's Pain Is RIAs' Gain: Reps Flee Wirehouses, Bring Assets to Fido And Others Despite the still-outsized signing bonuses offered by most Wall Street firms, the steady trickle of brokers leaving wirehouse firms to join or form their own RIA firms is growing.
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 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 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.
Registered Rep. November 1, 2006 Susan Konig	A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules.
Registered Rep. January 25, 2010 Halah Touryalai	LPL's New RIA Platform Rakes in Assets Since launching the platform in October 2008 through the end of 2009, the firm gathered $7.3 billion in assets.
Financial Planning December 1, 2008 Brooke Southall	RIA Power Registered investment advisory firms are bringing in more assets these days than are wirehouse brokerage firms.
Registered Rep. June 2, 2011 Diana Britton	America's Top Independent Brokerages The Merrills and Morgan Stanleys of the world say it was never an exodus, the migration is over, and it was only those advisors who couldn't make it in the cutthroat wirehouse world who crossed over to the independent side of the business.
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.
Registered Rep. March 1, 2008	How to Dance the Wall Street Shuffle There's no such thing as an easy route to independence. But there are some things reps can do to ease the transition.
Registered Rep. February 13, 2012 Jerry Gleeson	Raymond James Ramping Up Its RIA with New Leadership, Investment The new president, Bill Van Law, said the company plans to make a significant investment in the business in the months ahead.
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 August 2009 Eric Rasmussen	Wish Upon An 'IAR' RIA or IAR? Registered investment advisor or independent advisor representative; the anagram you choose will depend on how big you are and how independent you want to be.
Registered Rep. April 23, 2010 Halah Touryalai	Compensation Key To Breakaway Recruiting Pitch RIA principals and consultants discuss strategies for wooing and hiring advisors from various different kinds of 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 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 November 2011 Jeff Schlegel	Back In Gear After a slow period, recruiting is revving up again among broker-dealers.
Financial Advisor January 2007 Tracey Longo	Allure Of Independence Remains Bright Independent broker-dealers step up their recruiting efforts among reps and the already liberated.
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?
Financial Advisor November 2009 Raymond Fazzi	Tales Of Breakaway Brokers Fridays on Wall Street not only signal the end of the workweek. For many breakaway brokers, the day marks the end of their wirehouse careers.
Financial Advisor January 2006 Raymond Fazzi	Declaration Of Independence More financial planners are leaving wirehouses to become fee-based RIAs.
Registered Rep. October 11, 2010 Susan Konig	Advisor Movement Should Pick Up in 2011, Experts Predict Aggressive and lucrative recruitment packages essentially prompted anyone who wanted a big check to move last year, Diamond says.
Financial Advisor August 2006 Raymond Fazzi	Custodians Duel Over New Services Competition in the fee-based advisory field and the pressure to grow assets and operations is not only forcing changes upon advisors, but also the custodians who serve them.
Registered Rep. February 1, 2006 Kristen French	Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so.
Registered Rep. October 15, 2010 Jerry Gleeson	Fewer, But Bigger Breakaway Brokers Joining RIAs With markets stabilizing and bank-brokerage merger integrations progressing, fewer brokers are fleeing the big Wall Street wirehouse firms for the RIAs and independent b/ds in 2010.
Financial Advisor April 2009 David Lawrence	Migratory Patterns Advisors who want to move to the independent world should spend a lot of time planning the transition.
Investment Advisor November 2007 Kathleen M. McBride	Migration Time Is repapering accounts for 202(a) the last straw for wirehouse reps?
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. February 18, 2009 Halah Touryalai	LPL's New RIA Offering Lookin' Healthy; But Still A Pipsqueak Compared To Rivals There are some folks in the industry actually doing relatively well these days. Seriously. LPL Financial said today its new-ish RIA platform now has over $1 billion in new assets.
Investment Advisor September 2009 Melanie Waddell	Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away.
Financial Advisor November 2010 David Lawrence	Back In The Fold? Will the new regulations force independents to return to broker-dealers?
Registered Rep. November 4, 2011 Kristen French	Indie Exodus: Overhyped? In 2009, in the wake of arguably one of the biggest financial crises this country has seen since the Great Depression, over 3,000 financial advisors left Merrill Lynch, UBS, Morgan Stanley and Wells Fargo to start life over at an independent broker/dealer or RIA firm.
Financial Advisor March 2012 Eric Rasmussen	Swimming In Shallow Water Broker-dealers face a stagnant rep pool, shrinking margins and the choke hold of regulators. But it's been a boon to the biggest consolidators.
Registered Rep. February 1, 2005 Mindy Diamond	Customize Your Career As a result of broker dissatisfaction with the status quo, the increasing clout of top producers (at some firms) and the need for firms to keep successful reps happy, we're beginning to see quite a bit more flexibility.
Financial Planning May 1, 2007 Elizabeth O'brien	Snagging Breakaways Schwab Institutional and Cambridge Investment Research have joined forces to attract financial advisors turning independent. But just how big is the prize?
Financial Planning January 1, 2010 Stacy Schultz	Making a Statement When Raymond James bumped up its minimums in November, it positioned itself for a new standard, but could bad timing hinder its strategy?
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
Registered Rep. November 1, 2005 Christopher O'Leary	Creating an Escape Plan Independence has long been a dream of many wirehouse reps. But for the great majority of wirehouse pros, it remains simply that. Going independent is a proposition fraught with peril and is not to be taken lightly.
On Wall Street February 1, 2013 Matt Greenslade	Competition for Talent in Wealth Industry Stays Strong It s an advisor s market, as firms with diverse practice models strive to nab top talent.
Registered Rep. October 1, 2005 John Kador	Schwab Does It Again Charles Schwab, the pioneering discount broker who was slammed by the tech wreck and suffered through protracted management struggles in the past two years, is beating the wirehouses at their own game.
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.
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.
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.
Financial Advisor January 2004 Dorothy Hinchcliff	Custodians Are Knocking More custody players have been clamoring for the business of registered investment advisors, and that trend will continue this year, say two well-known research firms for financial institutions and investment managers.