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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.
September 10, 2003
David A. Gaffen |
Existing Clients Want More Advice The good news for reps is that the world doesn't hate you. The bad news is that acquiring clients -- particularly affluent ones -- is getting a lot more tough. |
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. |
Registered Rep.
October 8, 2014
Diana Britton |
Are Advisors Disillusioned with Alternatives? According to WealthManagement.com's 2014 AdvisorBenchmarking RIA Trend Report, fewer RIAs are using alternatives in their client portfolios this year than last. |
Investment Advisor
November 2009
James J. Green |
Advisors Need to Think More Broadly, Act More Creatively In the tenth iteration of the Rydex AdvisorBenchmarking study lessons from the crisis can be gleaned. |
Registered Rep.
June 2, 2011
Diana Britton |
Dog Days of Summer: Advisors Brace for Slow Months Ahead Advisors are expecting the summer doldrums to kick in for the stock market and the economy over the next few months, according to Rydex|SGI's Advisor Confidence Index. |
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. |
Registered Rep.
April 29, 2015
Diana Britton |
Advisor Views on The Economy We recently surveyed over 2,000 advisors across channels about their views on the economy and business as part of its 2015 AdvisorBenchmarking All-Channel Report. Here's what they had to say. |
Registered Rep.
November 1, 2006
Kevin Burke |
Money Managers Don't Get RIA Market A large number of money managers still haven't figured out how to tap the registered investment advisor market to sell their funds, according to research. |
Investment Advisor
April 2006
Maya Ivanova |
Self Improvement In the recent supplement to the 2005 Rydex AdvisorBenchmarking Survey, many advisors recognize that simply maintaining the status quo is not enough. They're continuously examining their business plans and investment processes to look for improvements. |
Investment Advisor
July 2009
Melanie Waddell |
Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures. |
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. |
Registered Rep.
March 2, 2015
Megan Leonhardt |
Rep as Portfolio Manager Wirehouse and national firms are the most likely to offer advisor-directed platforms, followed by the bank and independent broker/dealer channels. |
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. |
Investment Advisor
October 2008
Kara P. Stapleton |
An Alternative Education Despite investors' lack of familiarity with alternative investments, new research suggests that they are open to them, if only they are educated first. |
Registered Rep.
December 2, 2014 |
Best of the Best 2014 Unlike many of our competitors, we are as transparent as possible about our criteria and methodology when publishing a ranking. |
Investment Advisor
December 2009
Kathleen M. McBride |
B/D Briefing: Surprise Broker Sentiment Most appear to support a fiduciary standard. |
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.
October 19, 2011
Diana Britton |
Registered Rep/Wealth Management.com Research: Indies, Insurers Take Lead on Social Media RIAs, independent broker/dealers and insurance companies are taking the lead in social media usage, ahead of wirehouses, regional firms and bank brokerages. |
Financial Advisor
July 2012
Karen DeMasters |
A Horse Of A Different Color A new study shows advisors like alternative assets because their returns aren't correlated with those of other investments. |
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 Planning
May 1, 2008
Stacy Schultz |
Client Loyalty The most common reason affluent investors leave their financial advisors is because their advisor does not answer their calls, according to a new report. |
Financial Planning
August 1, 2010
Donna Mitchell |
Who's Planning? A study by Boston-based AiteGroup found that only 18% of independent advisors make financial planning the center of their practice. |
Financial Advisor
July 2012
Jim McConville |
RIAs Catching Up To Brokers In Compensation The compensation gap dividing elite independent advisors and top Wall Street brokers is closing, according to new research. |
Financial Planning
March 1, 2010
Donna Mitchell |
More Plans for All A universal fiduciary standard could be great for consumers, but financial planners may get less benefit than they think. |
Financial Planning
April 1, 2010
Donna Mitchell |
Going for Growth As RIAs gear up to grow their practices this year, they are doing more than scooping up unhappy wirehouse clients. They have identified three major strategies: increase spending on marketing, more technology, and improve client service. |
Registered Rep.
August 29, 2012
Jerry Gleeson |
Devil Take the Hindmost The headlines in the media note that advisor headcount was down 2.3 percent overall in 2011. But it was the independent broker/dealer market that accounted for the biggest hit in the numbers. |
On Wall Street
November 1, 2010
Michelle Lodge |
Advisors List Their Biggest Challenges Complexity isn't the biggest challenge facing advisors. A whopping 86% said they viewed consumers' lack of trust in the industry as their biggest barrier to a thriving business. |
Registered Rep.
October 1, 2002
David A. Geracioti |
Outgrowing the Series 7? Registered investment advisors must take the Series 65 exam. As the line between brokers and financial advisors blurs, what responsibilities do brokers that dispense advice and collect a fee based on assets have? |
Financial Planning
September 1, 2010
Donna Mitchell |
Social Value A joint study of 144 registered investment advisors by Pershing Advisor Solutions and Aite Group offers evidence that social media is more than an afterthought for advisors. Instead, it's a useful tool for reaching potential customers. |
Financial Planning
December 1, 2009
Mitchell & Menchaca |
Parity With Brokers For the first time ever, the number of mass-affluent investors who are taking advice from independent financial planners is the same as those who work with full-service brokers. |
Registered Rep.
February 27, 2003
Will Leitch |
Wealthy Clients Growing Disenchanted with Advisors A just-released report from the Spectrem Group, a Chicago-based consulting firm specializing in the affluent market, says only 59 percent of high net-worth clients are pleased with their advisors' performance. That's down from a 79 percent satisfaction rate just two years ago. |
Registered Rep.
June 30, 2010
Christina Mucciolo |
Clients, though Mostly Satisfied, in the Dark about FA Fees, Says Study Overall advisors and investors are still confused about what the advisors' fiduciary responsibility is exactly. |
Investment Advisor
August 2010
Melanie Waddell |
Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas. |
Registered Rep.
June 25, 2009
Halah Touryalai |
Regulation, Not Growth, Is Top Concern for RIAs Clients are demanding more of their time, revenues are taking a hit and on top of it all, there's potential for major regulatory changes in their industry. |
Registered Rep.
December 1, 2004
John Churchill |
If You're a Broker and You Know It As the holiday season approaches, the SEC is getting daily entreaties from registered investment advisors seeking an end to the broker/dealer exemption rule. |
Registered Rep.
December 8, 2015 |
2015 Broker Report Card: Advisor Satisfaction For those advisors employed at national broker firms, overall satisfaction took a hit as markets remain uncertain. |
Registered Rep.
January 1, 2007
David A. Geracioti |
What Advisors Look Like Now Here are selected highlights from a reader survey selected from wirehouses, independent broker/dealers, RIAs, financial planners, bank brokers and insurance reps that offers a pulse from this demographic on business trends. |
Investment Advisor
September 2009
Melanie Waddell |
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away. |
Registered Rep.
June 3, 2015
Megan Leonhardt |
Compensation Survey 2015: How Advisors Stack Up Advisors whose business mix leans more toward fees make almost twice as much as those who still lean heavily toward commissions, according to data collected in WealthManagement.com's compensation survey. |
On Wall Street
November 1, 2008
Matthew Leung |
Keeping Current Is Critical in Challenging Markets Clients' needs rule the day, so take advantage of existing educational sources, even in disparate areas of your work life. |
Registered Rep.
July 7, 2010
David A. Geracioti |
Compensation 2010. Crisis? What Crisis? 2009 income for RIAs -- while lower than 2008, in some cases by a lot -- rebounded fairly nicely, bringing earnings back to 2007 levels. |
Financial Advisor
November 2003
Blomfield & Hamil |
Who Puts Clients First? Client-centered financial advisors have an edge over ones focused on investments. |
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.
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.
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 Planning
January 1, 2012
Bob Veres |
True Cost of Tactical Management Investment companies are going to be facing very different selection criteria than in the past. |
Financial Planning
October 1, 2012
John J. Bowen, Jr. |
Elite Advisors' Best Practices: What Makes for a Successful Planner How do the best financial planners become successful? Developing a vision and a plan for your business takes focus, collaboration and consistency. And it s how the best performers enhance their success. |
Financial Planning
June 1, 2007
Kathy Gevlin |
Advisor Pulse The happiest financial advisors really do put their clients first, asserts the first study of advisor satisfaction. |
Investment Advisor
March 2009
James J. Green |
Catching Up With... Catching Up With Tom Bradley |
