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Financial Planning
June 1, 2010
Paul Menchaca |
Tale of a Tough Year What the numbers show: a dramatic seven-month stock market rally was not enough to help most of the top 50 broker-dealers counter the aftershocks of the financial crisis.   |
Financial Planning
June 1, 2011
Donald Jay Korn |
FP 50: Revenue Rising The money stream is flowing again: After two years of stagnant or, worse, shrinking revenue, the 50 largest independent broker-dealers report their annual revenues rebounded last year - significantly in many cases. |
Financial Planning
June 1, 2008
Stacy Shultz |
Lookin' Good, Broker Dealers As baby boomers approach retirement, some believe there could be no better time to be in the financial services industry. |
Financial Planning
June 1, 2008
Donald Jay Korn |
All Systems Go Clients and income hold steady in the financial services industry. |
Financial Planning
June 1, 2010
Paul Menchaca |
Survivor Island Firms that endured the worst of the financial crisis and lived to tell about it. |
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 Planning
June 1, 2007
Donald Jay Korn |
FP50: Pressure Points It's a great time to be in financial services. But broker-dealers' challenges are growing as fast as their opportunities. |
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. |
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 Planning
June 1, 2005
Black & Liptow |
FP50: The Rising Tide Among the 50 largest independent financial advisory firms--this year's FP50--revenues and assets under management were up, and losses were down. The leaders are holding their top slots, while many newbies are growing at a dramatic clip. |
Financial Advisor
June 2009
Jeff Schlegel |
Money In Motion The economic crisis has wreaked havoc on wirehouses, and more advisors are looking for new opportunities. |
Financial Planning
June 1, 2013
Ann Marsh |
FP50: Big IBDs Hit a Speed Bump Is the boom over? After years of double-digit growth, independent broker-dealers hit a rough patch in 2012. We report from the front lines of the FP50. |
Financial Planning
June 1, 2007
Marshall Eckblad |
FP50: Behind the Numbers Revenues among the top 50 broker-dealers soared, costs fell and reps took home more money than ever. But the biggest winners in this year's survey were fee-based products. |
Financial Advisor
November 2010
Bruce W. Fraser |
Out Of Retrenchment Independent broker-dealers see good recruiting opportunities in 2011. |
Financial Planning
June 1, 2012
Ann Marsh |
Go Big or Go Home There's a stark choice facing many players in the rapidly consolidating independent B-D game for the foreseeable future: Grow like crazy or call it quits. |
Financial Advisor
August 2005
Tracey Longo |
Independents Believe Bigger Is Better--And Cheaper Faced with higher costs, broker-dealers are targeting larger advisors. |
Financial Advisor
June 2005
Raymond Fazzi |
Regulatory Challenges Top Broker-Dealer Agenda Rarely has the potential of the financial advisory business, with a huge demographic wave of baby boomers approaching retirement, looked brighter. But never has the regulatory climate been more challenging. |
Financial Advisor
August 2004
Tracey Longo |
All Aboard Planners and advisors continue to switch independent broker-dealers. |
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 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
January 2004
Tracey Longo |
Reversal Of Fortune Independent brokerage firms experienced a turnaround in 2003. |
Financial Planning
June 1, 2008
Philip Palaveev |
Be Careful What You Wish For Understanding the advisor and independent broker-dealer relationship. |
Financial Advisor
December 2009
Eric Rasmussen |
Big Guys Fight Back Broker-dealers try to find their bearings in 2010 as their antagonists push back. |
Financial Advisor
January 2012
Bruce W. Fraser |
Full Steam Ahead What could have been a sad chapter for Securities America now seems to be a new lease on life for the firm. |
Financial Planning
November 1, 2009
Paul Menchaca |
LPL: "We've Arrived" Twenty years after the San Diego-based company was formed through the merger of Linsco and Private Ledger, LPL appears to have lapped its rivals, leaving nothing in its rearview mirror. |
Financial Advisor
September 2008 |
Frontline News News of interest to the financial services industry: M&A Talks Hit Many Roadblocks... Ameriprise Buys H&R Block's Advisor Business... Morningstar Buys Developer Of dbCAMS+... Securities America To Buy Brecek & Young... etc. |
Financial Advisor
June 2006
Tracey Longo |
Is Any Stone Unturned? Is the NASD's regulatory clampdown over? Major changes are in place at the sales force level. |
Investment Advisor
January 1, 2011
Marlene Y. Satter |
Sitting Tight 2010 will be remembered by broker/dealer recruiters as 'The Year of Going Nowhere.' |
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 Planning
March 1, 2007
Elizabeth O'Brien |
Clearly, Competition LPL's clearing deal with AXA Advisors prompts questions about recruitment among independent broker-dealers. |
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
November 2010
David Lawrence |
Back In The Fold? Will the new regulations force independents to return to broker-dealers? |
Financial Advisor
January 2011
Bruce W. Fraser |
Crafting A Comeback With new leadership at its parent AIG, Advisor Group's trio of broker-dealers venture forth on the road to recovery. |
Financial Advisor
March 2008
Joel Bruckenstein |
Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers. |
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. |
On Wall Street
June 1, 2011 |
The Leaders Speak The most influential leaders in wealth management today expound on evolution, revolution, moving the debate past wirehouse versus independent, and more. |
Financial Advisor
June 2007
Sherri Scordo |
Financial Advisor's 2007 Broker-Dealer Guide Top independent broker-dealers ranked by gross revenue: LPL... AIG Advisors Group... ING Advisors Network... etc. |
Financial Advisor
June 2007
Raymond Fazzi |
Follow The Money Broker-dealers sum up the future of advisory services in two words: rich folks. |
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 Planning
June 1, 2011
Scott Wenger |
Help Wanted The rising tide of the markets lifted virtually all boats among independent broker-dealers last year -- at least 82% of the firms in our 26th annual FP50 Survey reported revenue growth. Great time to have been looking for a job as an advisor, right? |
Financial Advisor
September 2005
Bruce W. Fraser |
How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process. |
Financial Planning
June 1, 2006
Joan Warner |
FP50: Where the Growth Is With their market share growing 20% a year and the boomer generation's accumulated treasure to deploy, independent broker-dealers are on a prosperous path. |
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 |
Financial Planning
October 1, 2009
Paul Menchaca |
AIG Advisor Group: They're Back Larry Roth maintains that a large, diversified insurance-based financial services company remains a great environment in which to grow a broker-dealer. |
Investment Advisor
May 1, 2011
Janet Levaux |
Securities America Denies Charges of Departing Reps Anonymous sources insist advisors are leaving or planning to leave the firm |
Financial Planning
June 1, 2005
Joshua Weinberger |
FP50: The CEOs Speak Executives from eight of the leading broker-dealers speak out about industry issues. |
| Registered Rep. |
The Top 30 Independent Broker/Dealers in 2015 The list below is comprised of the 30 largest IBDs ranked by average assets under management per advisor, as of 2014. |
Financial Planning
October 1, 2012
Scott Wenger |
Looking to the Future: Securities America Wants to be a Leader in Retirement Income Distribution The author has a question and answer session with Securities America CEO Jim Nagengast |
Financial Planning
October 1, 2010
Brian Hamburger |
Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive. |
Registered Rep.
January 1, 2005
David Gaffen |
The Broker and Brand X Syndrome The commoditization of the brokerage industry might be easier for individual reps to deal with, were they not under such intense pressure in virtually every other aspect of their professional lives. |
