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Registered Rep. September 30, 2009 David A. Geracioti	Do Retail Financial Advisors Have an "Unhealthy Focus?" The Financial Times suggests the way financial products and services are sold need to be completely overhauled.
Financial Planning July 1, 2008 Marion Asnes	Cream of the Crop Big banks and wirehouses are bleeding reps who have become disenchanted or been downsized. Now, the race is on among independent broker-dealers and custodians to capture the cream of the breakaway crop.
Financial Advisor August 2004 Raymond Fazzi	Custodians Filling Different Niches Many advisors find just one custodian isn't enough.
Registered Rep. July 15, 2003 Nigel Goodman	Advisors: Our Clients Are Feeling Bullish It may not be as exciting and thrilling as the running of the bulls in Pamplona, but the recent rumbling of the bulls on Wall Street has created a thrill in its own right for investment advisors.
Investment Advisor April 2010 James J. Green	Navigator For years, Dan Skiles has steered advisors through the tech rocks to business safe harbors. As IA's new technology coach, he'll be your guide to the future.
Financial Advisor August 2010 Raymond Fazzi	Looking To Streamline Now that they've experienced the harsh consequences of poor business management, fee-based advisors are looking to their custodians and broker-dealers for all the help they can get.
Investment Advisor June 2010 John Sullivan	Grow and Learn A poll recently conducted by the SEI Advisor Network found that the top priority for advisors in 2010 is to "create new initiatives to increase sales and grow business."
Financial Advisor October 2005 Chris Radford	Practice Management: What The Survey Doesn't Say Because there are no surefire business plans for success, it takes a unique combination for each financial advisor to find the "x-factor" -- that intangible number in every business opportunity that equals ultimate success.
Registered Rep. August 26, 2011 Jerry Gleeson	Schwab Apologizes Over Sales Pitch to Advisor Clients Schwab found itself apologizing for violating its own policy of pitching portfolio products to retirement plan sponsors who were clients of retail financial advisors and turnkey asset management programs that have custodial relations with the firm.
Registered Rep. August 25, 2010 Halah Touryalai	Better Economic Times Ahead? Your Clients Don't Think So. Advisors seem more optimistic about the economy than their own clients, according to a recent survey.
Investment Advisor February 2007 James J. Green	Schwab to Bankroll Breakaway Brokers With advisor assets at $500 billion, the custodian will offer financing to big brokers going independent.
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.
Registered Rep. September 24, 2014 Jerry Gleeson	Custodian Castoffs Scottrade won't comment on the number of advisors it culled last summer, but other custodians say they've seen a sharp increase in the number of former Scottrade advisors who are now looking for a new home.
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 August 1, 2010 Joel P. Bruckenstein	Waiting for "Intelligent Integration" This spring, Schwab Advisor Services announced the launch of "Project C"-an ambitious technology initiative designed to deliver high-quality, integrated solutions to advisors.
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.
Financial Planning August 1, 2007 John J. Bowen	The Best in the Business Financial advisors can learn much from studying the business practices of their most successful peers.
Financial Advisor December 2011 Bill Bachrach	Higher Ethics It's unethical and out of integrity to be a financially unsuccessful financial advisor.
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.
Financial Advisor February 2012	Social Media Losing Some Appeal With Financial Advisors Despite the hype about the benefits social media can bring to financial advisors, most advisors don't find it very useful in their businesses.
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. March 23, 2015 Ryan W. Neal	Schwab Reveals Intelligent Portfolios For Advisors Schwab is making the technology the backbone of an account management tool for registered investment advisors.
Financial Advisor August 2005 Raymond Fazzi	The Logic Of Multiple Custodians As custodians serving the independent advisor market come and go, and merge and consolidate, many advisors are having a harder time finding a stable home for their clients' assets. In many cases, they're finding that using multiple custodians gets the job done efficiently.
Registered Rep. May 21, 2007 Halah Touryalai	Schwab Institutional President "Retires" Deborah McWhinney, president of Schwab Institutional, retired this morning at the age of 52, something communicated to the firm's advisors and employees via e-mail.
Financial Advisor March 2012 Bernie Clark	The Changing RIA Advisors need to start thinking bigger and go beyond their current capabilities.
Registered Rep. July 5, 2012 Jerry Gleeson	A League of their Own While the Big Four custodians still dominate the market, some smaller firms are making their presence felt.
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 Advisor November 2007 David J. Drucker	In The Land Of Giants If a smaller custodian comes along that can successfully execute a platform of services advisors can't get from Schwab, Fidelity or TD Ameritrade, it's going to find a place with advisors.
Financial Advisor September 2005 Raymond Fazzi	A Question Of Trust Custodians square off in a newly competitive trust services market.
Investment Advisor July 2008 James J. Green	Schwab Smoothes the Road to Independence Schwab Institutional announces a multipronged platform -- with some existing planks, and some newly laid ones -- to ease the transition process for its brokers who wish to become registered independent advisors.
Investment Advisor December 2007 Kara P. Stapleton	Tech-Savvy Advisors A new report finds that the best-managed financial advisory firms have clear and long-term strategies for their technology investments.
Investment Advisor November 2007 Lauren Barack	Give Them What They Want Understanding they can't offer every tool to every advisor, custodians are nevertheless making sure to remain flexible enough to meet advisors' ever changing demands.
Financial Planning January 1, 2010 Christopher I. Franklin	New Integrity Advisors must restore integrity and values to the financial services business.
Registered Rep. October 15, 2009 Christina Mucciolo	Schwab Q3 Earning Down, But the Race For RIA Assets Is Hot Charles Schwab reported a 34 percent drop in its third quarter earnings, the firm's third consecutive quarter of slowing earnings this year.
Registered Rep. October 31, 2014	Advisor Views on Alternatives While 70 percent of advisors recommend some form of alternative products to their clients, it's a select group.
Investment Advisor February 2009 Kara P. Stapleton	Stressed Out? It's no news that advisors are overwhelmed, considering the behavior of the markets and the state of the economy.
Registered Rep. September 28, 2010 Jerry Gleeson	Custodians Seek Integrated Solutions To FAs' Tech Needs As custodians compete to draw advisors into the fold, they often tout the superior quality of their technology.
On Wall Street December 1, 2009 Gerri Leder	Are the Wirehouses as Broken as the Breakaway Brokers Insist? Wirehouse reps who switched firms have begun to show an increasing willingness to jettison the wirehouse model altogether in favor of independence.
Registered Rep. March 2, 2015 Diana Britton	Crowded Out Some level of competition between advisors and custodians has been around for years. Still, some advisors feel recent events make the distinction between business partner and market competitor less clear.
Financial Advisor August 2012 Jon Beatty	A Promising Road Advisors are enjoying strong growth despite significant challenges in the financial markets.
Job Journal March 6, 2011 Craig Nathanson	How to Manage with Integrity When a healthy work culture is in place, it is because management places a high priority on people getting along, communicating openly, and contributing in a fair environment.
Financial Planning September 1, 2009 Marion Asnes	Flying High Thoughts by Jim McCool, executive vice president and head of institutional services at Schwab, talks about back office focus, trust, and service.
Registered Rep. August 8, 2011 Jerry Gleeson	Schwab: Franchisees Can't Poach RIA Clients Advisors who are considering Charles Schwab's new independent branch program are being told they will have to abide by the company's contact policy.
Financial Advisor February 2008 Joel Bruckenstein	Custodians Beef It Up Since advisors' work flows are often intertwined with custodian-supplied technologies, let's take a look at what the custodial firms have in store for 2008.
Registered Rep. April 16, 2012 Jerry Gleeson	Schwab RIA Unit Sees "Consistent" Growth Schwab Advisor Services is signing up advisor assets at a pace that tracks its historical average.
Registered Rep. December 8, 2015	2015 Broker Report Card: Show Me The Money Advisors' gross production varied widely by firm in this year's survey results.
Investment Advisor March 2006 James J. Green	Editor's Note: The Limits of Independence Why the independent advisory business is such a wonderful one to be in, and yet such a frustrating one, too.
Investment Advisor December 2005 Andrew Gluck	The Gluck Report, Part I: The Big Three's Tech Plans for 2006 New tech initiatives from the leading custodians have lots of features aimed at attracting and winning over RIAs without making them feel like they're losing their independence. We talk to the tech heads at Schwab, Fidelity, and TD Waterhouse.
Registered Rep. December 4, 2012 Megan Leonhardt	(No) Experience Necessary When it comes to being a financial advisor, the more experience -- the more years you have on you -- the better, right? Not quite. A new study shows that firms should be cautious when bringing aboard advisors heavy on experience.
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.