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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.   |
Registered Rep.
October 5, 2009
Kristen French |
Citi Bank Brokerage Converts To All Fees Citigroup announced that it would convert its small North American bank brokerage business completely to a fee-on-assets-based fiduciary advice system, and would stop collecting commissions on stock and fund sales. |
Financial Advisor
November 2012
Mary Rowland |
Tough Test An entrepreneur evaluates advisors for the wealthy. These families now have a "search firm" to perform due diligence on advisors and help the families find exactly the right one. |
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. |
Registered Rep.
December 4, 2012
Jerry Gleeson |
Taking Care of Business A survey this year by REP./Wealth Management.com shows how RIA attitudes differ from those among advisors in other channels. |
Registered Rep.
March 24, 2011
Jerry Gleeson |
United Capital Buys $170M Advisor Practice Near Philly Just two months after it announced the acquisition of three RIAs with $2.2 billion in combined assets, United Capital said today it has bought another practice, Vantage Point Advisors in the Philadelphia suburb of Lower Gwynedd, Pa. |
Registered Rep.
September 16, 2011
Jerry Gleeson |
RIA Interest in Financial Planning Grows, Industry Data Suggests Financial planning activities are playing a growing role in the service offerings of registered investment advisors. |
Financial Planning
June 1, 2013
Matt Ackermann |
United Capital's Joe Duran: Imitating Starbucks The CEO of United Capital plans a nationwide network of planners with a consistent look and feel. |
Financial Advisor
February 2, 2009
Jeff Schlegel |
Surviving The Plunge Amid falling assets and revenue, advisors try to positions themselves for the eventual upturn. |
Investment Advisor
August 2007
Maya Ivanova |
A Victim of Success? A recent survey of registered investment advisors reports that while advisors recognize that marketing is a key component of their business, few devote enough time to this vital activity. |
Financial Advisor
March 2012
Bernie Clark |
The Changing RIA Advisors need to start thinking bigger and go beyond their current capabilities. |
Registered Rep.
October 29, 2009
Kristen French |
RJFS Raises RIA minimums, LPL Pulls Past RJ in RIA Assets Raymond James is raising minimums for new RIAs who want to custody assets on its RJFS-IAD platform from $30 million to $50 million. |
Financial Planning
August 1, 2009
Donna Mitchell |
Earnings Rebound Financial advisors are making more money, putting more emphasis on education, and shifting their compensation schemes toward fees |
Financial Planning
July 1, 2013
Patrick Sweeny |
How to Talk About Your Fees Clients deserve straight answers on the ways they pay for your services. |
Registered Rep.
December 4, 2012
Jerry Gleeson |
Don't Fear Your Fees RIAs are loathe to increase rates, believing it alienates clients. But industry insiders say advisors have more juice than they suspect. Here's how to get a raise. |
Registered Rep.
March 28, 2003
Ross Tucker |
RIAs Lower Fees, Pull In More Clients Poor market conditions and the resulting competitive environment forced Registered Investment Advisors to lower fees in 2002, according to a survey. |
Financial Planning
September 1, 2007
Elizabeth O'Brien |
Working Smarter The new Rydex benchmarking survey reveals the habits of highly successful advisors. |
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. |
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.
June 1, 2015
Megan Leonhardt |
Compensation Survey 2015: Crunching the Numbers The industry has come a long way in embracing a fee-based business. |
Financial Advisor
August 2009
Roy Diliberto |
Transparency: A Model For Our Profession Investment advisers should only have one interest in mind, and that is the individual. |
Registered Rep.
September 10, 2009
David A. Geracioti |
Fido's RIA Unit Cuts Fees The average financial advisor has taken a big hit in production and therefore net income. But RIA custodians are turning that into something of a marketing tool. |
Registered Rep.
April 1, 2008
David A. Geracioti |
Joseph Duran A conversation with Joseph Duran, about his firm, United Capital, a national wealth-management firm that purchases regional registered investment advisor firms. |
The Motley Fool
August 13, 2007
Dan Caplinger |
Don't Pay Twice for Advice There's nothing inherently wrong with paying for financial advice. But there's a big difference between paying once for a good financial plan versus paying high fees year after year, through good times and bad. |
Investment Advisor
March 2009
James J. Green |
Catching Up With... Catching Up With Tom Bradley |
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.
June 4, 2013
Diana Britton |
Fading Bull Our annual compensation survey shows advisors are riding the market rally -- so what happens when it ends? |
Registered Rep.
September 29, 2005
John Churchill |
Are You Charging Enough? With competition fierce -- and clients more informed than ever -- it's important to make sure that you are not selling yourself short. In fact, you may not be charging enough for your financial advisory services. |
Financial Planning
October 2, 2007
Elizabeth O'Brien |
Advisor Pulse A new study reveals that while 95% of all financial advisors believe they've talked about fees with their clients, only 66% of customers say their advisor has initiated a fee discussion with them. |
Registered Rep.
September 15, 2010
Jerry Gleeson |
United Capital Acquires Dunn Hogerty, More Mergers Ahead United Capital isn't the only one looking to tie the knot. The broader M&A market is picking up, according to Schwab Advisor Services. |
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. |
Registered Rep.
March 31, 2015
Diana Britton |
How Advisors Are Paid The ascendancy of fee-based compensation in the independent broker/dealer space continues. |
Investment Advisor
June 2009
Lewis Schiff |
The Affluentialist: Best Practices for Retirement Planning According to an in depth survey of experienced advisors who devoted a significant portion of their practices to retirement planning, demands from clients are driving the evolution of retirement services. |
Registered Rep.
April 1, 2010
Halah Touryalai |
Citi's Covert Makeover It's a major shift in business for an entire unit to leap in the fee-only RIA world. |
Registered Rep.
May 5, 2008 |
LPL Financial Heats Up The RIA World The largest independent broker/dealer in the U.S. announced today it's going to launch an RIA custodian later this year, which will serve both hybrid and fee-only investment advisors who operate independent RIAs. |
Financial Planning
June 1, 2012
Donna Mitchell |
Aiming Lower Mass-market investors, with their relatively tiny net worth but big growth potential, are attracting increased attention from the financial planning industry. Two major companies have announced forays into this market sector. |
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. |
Financial Planning
September 1, 2013
Rachel F. Elson |
Commonwealth Financial's Big Fee-Based Bet Commonwealth Financial Network already stands out for its revenue mix. Now it has a new model for RIAs. |
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.
May 1, 2005 |
13 Percent Percentage of advisors who say they have switched to a wealth management model. |
Financial Advisor
November 2009 |
Frontline News Advisor News: Poll on advisor pay... Citi Embracing Fee-Only Model... RIAs Set Record For Repurchasing Their Firms... FINRA Expands Arbitration Pilot Program... SEC Expects To Examine 9% Of RIAs Annually... more... |
Financial Advisor
March 2012
Bernie Clark |
The Changing Affluent Investor Advisors must prepare for new affluent clients and the changes, attitudes and expectations they will bring with them. |
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 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. |
Investment Advisor
November 2006
Angela Herbers |
Operation Ownership One of the major failings of the independent advisory industry has been the reluctance of advisors with established practices to extend ownership to junior professionals who helped them attain their success. |
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.
May 24, 2013
Sallie Krawcheck |
Don't Fence Me In Women start businesses at twice the rate of men and predict a bright future for the wealth management industry. |
Financial Planning
December 1, 2008
Scott Schutte |
Setting Yourself Apart The wave of retiring baby boomers in the coming years will pave the way for advisors who wish to move away from traditional investment management and focus on specialized financial planning and wealth management services. |
Investment Advisor
September 2005
Mark Tibergien |
Formulas for Success: The Price of Everything... If you're not adding profit into what each financial advisory client costs, you're losing money. Advisors who use a combination of performance fees tied to assets and a retainer tied to more complex planning are able to consistently demonstrate their value. |
Registered Rep.
January 16, 2013
Stan Luxenberg |
The Rise and Fall of Load Funds All hail no loads and ETFs! Will the move away from loads and commissions continue? Yes, says Avi Nachmany, research director of Strategic Insight. "The old commission business is fast disappearing," says Nachmany. |
