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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 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. |
On Wall Street
September 1, 2010
Aarti N. Maharaj |
Five Questions With Amy Strong Joining Financial Research Corp. as a research analyst in 2007, she examines the state of the industry and marketing effectiveness. |
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. |
Registered Rep.
October 30, 2015 |
The State of Independence: ETF Plays Advisors' knowledge of exchange traded funds is lacking. |
Financial Advisor
June 2007
Sherri Scordo |
Indepedent Broker-Dealers/Financial Advisor's 2007 Snapshot of Leading Firms Advantage Capital Corporation... AIG Financial Advisors... American General Securities, Inc... etc. |
Financial Planning
June 1, 2008
Stacy Schultz |
More Than Equal A study of the role of the female financial advisor. The research compares female to male advisors and looks at the varying performance levels of women advisors. |
Financial Planning
April 1, 2013
John J. Bowen, Jr. |
5 Success Tips From High-Performing Advisors A new study of high-earning advisors offers 5 clear success tips. |
Registered Rep.
May 31, 2013
Megan Leonhardt |
Cold Call: Michael Kitces Michael Kitces, Research Director of Pinnacle Advisory Group talks about business plans for advisors. |
Registered Rep.
October 1, 2012
Diana Britton |
A Package Deal Most advisors would say they want to do what's best for their clients. But if that's the case, they better not manage their clients' money on their own; better leave that to the home office, new research from Cerulli Associates shows. |
Registered Rep.
March 1, 2006
David A. Geracioti |
To Increase Revenue Increase Time Spent With Clients Clients are happier when financial advisors pay close attention to them, and new research suggests that this can manifest itself in more business. |
Investment Advisor
July 2010
David DeVoe |
Options, Options, Options Big banks used to be the main acquirers of advisory firms, but in the past few years, the consolidators and bigger advisors have recognized the opportunity as well. |
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. |
Registered Rep.
December 8, 2015 |
2015 Broker Report Card: Stagnating Assets? It's no surprise that younger advisors have fewer assets under management, yet they are growing at a faster clip. |
Investment Advisor
November 2009
Angela Herbers |
The Fast Track: The M Word Cometh Older and younger advisors both have a new appreciation for marketing. |
Registered Rep.
May 1, 2005 |
13 Percent Percentage of advisors who say they have switched to a wealth management model. |
Registered Rep.
October 30, 2015 |
The State of Independence: Robo Rising Advisors like automated investment platforms for a number of reasons. |
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. |
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. |
Registered Rep.
July 8, 2011
Jodie Papike |
What To Do When You Smell a Storm Coming At Your B/d New technology and today's 24-hour media cycle have put advisors in a much better position to sniff out trouble at their broker/dealer. |
Investment Advisor
April 2008
Lewis Schiff |
Like Client, Like Advisor New research reveals the personality traits and practices that help advisors become millionaires themselves. |
Financial Planning
February 1, 2010
Donna Mitchell |
More Money in Motion During the financial crisis, the majority of high-net-worth clients maintained accounts with at least two financial advisors, Boston-based Cerulli Associates said in a January report. |
Investment Advisor
August 2010
Melanie Waddell |
Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision. |
Financial Advisor
May 2012 |
Advisors, Clients See Portfolios Differently Advisors say their clients are fixated more on shorter-term concerns such as one-year returns (54%), their portfolio's absolute returns (49%) and portfolio volatility (41%). |
Registered Rep.
March 15, 2012
Diana Britton |
Ladenburg Thalmann Revenue Doubles Thanks to SAI acquisition, But Profits Are Slim The spike was primarily due to the company's acquisition of Securities America, adding $57.1 million to Ladenburg's 2011 revenue. Net income for the quarter was $6.4 million, compared to a net loss of $1.1 million for the fourth quarter 2010. |
Financial Planning
March 1, 2013
John J. Bowen, Jr. |
For Advisors, a Client-Centered Shift More advisors are shifting toward a broader approach and away from investment management. |
Registered Rep.
June 23, 2010
Halah Touryalai |
Too Much Client Hand-Holding, Not Enough Prospecting The nervous-client-syndrome has yet to wear off. That's according to a new survey that says most advisors are still spending the majority of their time with existing clients rather then generating new business. |
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. |
Financial Planning
June 1, 2008
John J Bowen Jr |
Help From My Friends Here are some of the most important issues to consider when working with a financial institution. |
Registered Rep.
October 6, 2015
Megan Leonhardt |
Advisors Working with Spouse See Success Among advisors working as part of a team, the most successful are husbands and wives, according to new research by PriceMetrix. |
Registered Rep.
May 19, 2014 |
The Top Six Reasons Advisors Won't Use Social Media Based on our survey of 447 advisors sponsored by NFP, we broke down the challenges that firms face in their efforts to adopt a social strategy. |
Registered Rep.
January 22, 2015
Ryan W. Neal |
Advisor Industry Shrinks While Assets Continue to Grow A recent report by Cerulli Associates found that the industry shrank 1.9 percent to 287,119 advisors in 2013. Asset levels, however, are on the rise. |
Registered Rep.
March 1, 2008 |
Plain English: The Cost of Compliance The SEC voted in February to propose changes to the structure of the Form ADV, the disclosure document that all investment advisors must complete. |
Investment Advisor
August 2009
Melanie Waddell |
More Annuities Used in Income Portfolios Advisors are increasingly turning to annuities to help cover their clients' basic needs in retirement. |
Financial Advisor
March 2012 |
Wirehouses Still King Of The Hill Despite headlines about breakaway brokers and the ascendency of the independent, fee-based advisory model, the Big Four wirehouses are still holding their own. |
On Wall Street
April 1, 2013
Lorie Konish |
Five Questions with Matt Matrisian The director of practice management at Genworth Financial offers advisors tips on avoiding common blind spots. |
Investment Advisor
August 2009
Philip Palaveev |
The Palaveev Manifesto The natural state of a true investment advisory firm is a privately owned partnership that is fully controlled by the professionals who are actively involved in the delivery of advice to clients. |
Financial Advisor
December 2005
Grove & Prince |
Raising The Bar On Value-Added Services There is an unequaled opportunity for growth when financial advisors leverage the expertise and resources of financial institutions and partner with their product providers. |
Investment Advisor
March 2008
Angela Herbers |
Words of Wisdom Keeping older professionals in the industry should be a priority. And if we don't do something to rectify this situation sooner rather than later, we face the prospect of watching the experience of a whole generation literally walk out the door. |
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. |
Financial Advisor
February 2012 |
Sex Bias "The financial services industry needs to do a better job of recruiting, training and retaining women as financial advisors if it is going to successfully meet the demand of women small business owners," said Mary Quist-Newins. |
Investment Advisor
September 2008
Bob Clark |
Who's Your Daddy? Philip Palaveev's new gig as president of Fusion Advisor Network foreshadows the future of independent advice. |
Registered Rep.
December 8, 2015 |
2015 Broker Report Card: Fiduciary Worries The Department of Labor is set to rule that brokers working with retirement accounts meet a fiduciary standard. |
Registered Rep.
December 8, 2015 |
2015 Broker Report Card: Paying Premium? The percentage of advisors' revenues derived from fee-based business ticked up again this year, for the sixth year running. |
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
November 2006
Bob Clark |
Name Game Advisors who want to benefit from the more favorable economics of working with fewer -- but higher net worth -- clients will increasingly need to position themselves as investment managers or wealth managers. |
Investment Advisor
January 2007
Ivanova & Kahler |
The ABCs Of Retirees To meet the needs of retiree clients, financial advisors will need to beef up their knowledge not only of investment-related retirement issues, but also non-investment areas. |
Financial Planning
May 1, 2008
Stacy Schultz |
Need for Education A preview of the 2008 Rydex AdvisorBenchmarking Study, a snapshot of the financial advisory business. |
Investment Advisor
September 2009
Philip Palaveev |
Win-Win Why a partnership is the best ownership structure for an advisory firm, and for clients. |
Registered Rep.
December 8, 2015 |
2015 Broker Report Card: How National Brokerage Firms Stack Up REP.'s 25th annual Broker Report Card is the survey that lets advisors from the six major national brokerages rate their employers across a range of factors |
