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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.   |
Investment Advisor
August 2009
James J. Green |
Schwab Cuts Costs for Its Advisors Charles Schwab Advisor Services announced a series of moves that will have the net effect of reducing costs to the RIAs that custody with Schwab. |
Registered Rep.
July 5, 2011
Jerry Gleeson |
Schwab Finds RIAs Posted Record 2010 Revenue, AUM Average profits surged 45 percent last year among registered investment advisors surveyed, but don't look for a repeat of this year. |
Registered Rep.
November 13, 2015
Ryan W. Neal |
Despite Volatility, Advisor Confidence High The market volatility in the third quarter wasn't enough to shake advisor optimism. |
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.
July 16, 2009
Halah Touryalai |
Schwab Profits Down for Q2 But Keeps Adding Breakaway Brokers Charles Schwab reported that its second quarter profit fell 31 percent, thanks to low interest rates and soft capital markets, but in the meantime the company has added 74 breakaway advisors to its RIA platform. |
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. |
Registered Rep.
November 20, 2009
David A. Geracioti |
Schwab Survey Shows Many FAs at Big Firms Disgruntled (Surprise!) Obviously, the dramatic upheaval that changed the landscape of Wall Street is having some negative effect on advisors at major firms. |
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.
June 29, 2009
Halah Touryalai |
Schwab Cuts Some Fees for 2009 In an effort to ease the financial pain of its registered investment advisors, Charles Schwab has announced a series of initiatives that will save them money. |
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 Advisor
March 2012
Bernie Clark |
The Changing RIA Advisors need to start thinking bigger and go beyond their current capabilities. |
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. |
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
November 2009
James J. Green |
Numerology: Fewer Assets, More Advisors Total assets managed by investment advisors shrank in 2008 but the number of SEC-registered investment advisors increased. |
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. |
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.
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. |
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. |
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. |
Registered Rep.
February 29, 2012
Jerry Gleeson |
It's a Tough Route for Younger Advisors Anew report by Charles Schwab, which shows that advisors under the age of 40 are more likely than their older peers to feel pressure to grow their book of business, or to focus on selling proprietary products. |
Financial Advisor
July 2010
Bernie Clark |
Gunning For Growth RIA firms estimate that they'll see 15% revenue growth this year. An emphasis on efficiency will free principals to go after new business again. |
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. |
Financial Planning
March 1, 2011
Donna Mitchell |
Hot Topics M&A activity peaked in 2010... Advisors in touch... Untapped business serving retiring boomers... |
Registered Rep.
July 8, 2015
Jerry Gleeson |
No Slowing RIA Growth In the financial advisory industry there are potential regulatory burdens, fickle investors, and crafty competitors -- but nothing has changed the relentless march of the registered investment advisor space since the 2008 crash. |
Registered Rep.
October 30, 2015 |
The State of Independence: Intelligent Advisor The survey covers over 360 registered investment advisors. |
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.
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.
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.
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. |
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
August 2012
Jon Beatty |
A Promising Road Advisors are enjoying strong growth despite significant challenges in the financial markets. |
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. |
Registered Rep.
March 2, 2010
Jerry Gleeson |
Client Frugality, Risk Aversion Is the New Normal Registered investment advisors report that their clients are closing their wallets and watching their dimes and quarters. |
Registered Rep.
March 6, 2012 |
RIA Rising: Befogged Investors Struggle with the Math Understanding the rules of investing can be a daunting task for clients, but some new data by Charles Schwab released today suggests the confusion may run deeper than you'd think. |
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. |
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. |
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 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
July 2012
Bernie Clark |
The RIA Universe Advisors should look not just at their own internal business practices but also at the changes and trends occurring across the RIA field. |
On Wall Street
December 1, 2010
Matthew Leung |
Winning Over Clients Who Have Been Burned It's not surprising that investors and even financial advisors may be disheartened about the market. So how can advisors remain motivated and prevent clients from sitting on the sidelines? |
Registered Rep.
May 13, 2009
Christina Mucciolo |
Wall Street Squeezes Small Brokers, Many Go Independent In this brutal market, many advisors are taking payout cuts or being let go. But many of these advisors are finding homes at independent and regional b/ds and RIA firms. |
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. |
Investment Advisor
December 2005
James J. Green |
Talk to Chuck Schwab the company began as a transaction service, then moved into mutual funds, but Schwab the man believes his greatest legacy was his ability to democratize investing, and to support the notion that people could get their advice from someone who did not have a conflict of interest. |
Registered Rep.
October 30, 2015 |
The State of Independence: ETF Plays Advisors' knowledge of exchange traded funds is lacking. |
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. |
Investment Advisor
March 2010
Robert F. Keane |
Changes at the Top for RIA Units at Fidelity and Schwab At a time when growth in the RIA channel has been robust to say the least, the two largest custodians have announced executive changes and restructuring of their units serving RIAs. |
Financial Planning
September 1, 2007
Elizabeth O'Brien |
Advisor Pulse Advisor, advise thyself! A recent survey finds that most advisors did not understand the market value of their business or have a succession plan. |
Registered Rep.
October 8, 2015
Megan Leonhardt |
Breakaway Advisors Moving More to Existing RIAs More advisors are looking to leave the wirehouses and brokerages by joining an existing registered investment advisory firm, rather than starting their own. |
Registered Rep.
July 30, 2012
Jerry Gleeson |
Failing at Succession? Cerulli Associates estimates that nearly 60 percent of advisors who are within five years of retiring expect to sell their business to an unidentified buyer. Five years is not enough time. |
