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Registered Rep.
May 4, 2011
Charles Paikert |
Now for the Hard Part: After Splashy Debut, Dynasty Tries to Woo Wealth Managers Dynasty Financial Partners is now trying to make good on its initial promise to emerge as the preferred service provider for independent wealth managers catering to clients with over $5 million in investable assets.   |
Registered Rep.
October 11, 2011
Jerry Gleeson |
Top Convergent Wealth Exec Jumps to Focus Financial Lori Van Dusen, a widely regarded executive at one of the largest registered investment advisors in the country has jumped ship to start her own practice with another, much larger RIA. |
Financial Advisor
February 2011
Jeff Schlegel |
New Player In Town Merion Wealth Partners has created an advisor-owned, independent wealth management firm it says is unlike the competition. |
Registered Rep.
October 20, 2010
Charles Paikert |
Make Room For More Wealth Firms With National Reach The already crowded field of wealth management firms who want to go national is getting more crowded, still. |
Registered Rep.
October 30, 2014
Diana Britton |
The Rise of the Mini-Aggregator The rise of the "mini-aggregator" is an accelerating trend: Mature, established advisory firms who have built out their own infrastructure are realizing that they can rent out their back offices and operations. |
Registered Rep.
March 28, 2012
Charles Paikert |
Branch Managers Are Key For Aggregator Growth There is growing demand for their talents in one corner of the wealth management universe: newly formed aggregators who are busy buying up firms and opening offices across the country. |
Registered Rep.
January 3, 2012
Jerry Gleeson |
Raiders of the Wirehouse Ark The emergence of HighTower as a major player in the independent space also dovetails with the changes that have shaken the wirehouse industry since the 2008 financial crash. |
Financial Planning
November 1, 2012
Donald Jay Korn |
High-Octane Expansion: Hightower Advisors Has a New Growth Plan HighTower has gotten a big boost by working with independents. Can it keep up the momentum? |
Registered Rep.
February 1, 2012
Jerry Gleeson |
Focus Financial Obtains New Credit Line for Acquisitions Focus Financial Partners' pockets just got a lot deeper. A consortium of banks approved a credit facility of up to $320 million for the New York City-based registered investment advisor aggregator, almost double the size of its previous facility of $155 million. |
Financial Planning
October 2, 2007
Suzanne McGee |
Higher and Higher Today, there are more than 9 million Americans with at least $1 million to invest. Even for the best-prepared and best-educated advisor, a time may come when they need to consider whether continuing to work with their ultra-affluent client is in the best interests of both parties. |
Registered Rep.
November 15, 2011
Charles Paikert |
Lockshin Sets Contrarian Strategy for Convergent An outspoken fixture in the wealth management industry for over two decades, Convergent Wealth Advisors chief executive Steve Lockshin is in the headlines again, embracing a new role as a contrarian. |
Financial Advisor
February 2007
David J. Drucker |
The Retirement Dilemma Will your aging client base kill your financial advisory business? |
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... |
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.
June 1, 2006
Kristen French |
The Wealth Management Quest Are you really a wealth manager? Do you know what the phrase really means? It pays to know, because a new compensation report shows only 8% of advisors -- across all business channels -- actually fit the bill. |
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. |
Registered Rep.
February 7, 2012
Jerry Gleeson |
Morgan Stanley Smith Barney's King Breaks Away, Taps Dynasty for Help A Morgan Stanley Smith Barney team led by Larry King in Saratoga Springs, N.Y. left the wirehouse and started an independent registered investment advisor, King Wealth Management Group. |
Registered Rep.
March 8, 2011
Diana Britton |
IBDs Dress Up Offerings For Hybrids Independent broker-dealers have lately been ramping up their efforts to attract hybrid advisors. |
Financial Advisor
July 2006
Dorothy Hinchcliff |
Climbing A Stairway To Heaven As boomers age and spend their savings, financial advisors will need to adapt their practices. |
Financial Advisor
November 2008
Gail Liberman |
War Breaks Out For Wirehouse Brokers The economic crisis on Wall Street, among many other things, is causing wirehouse brokers to reconsider the value proposition offered by the giant financial service firms. |
On Wall Street
March 1, 2013
Samantha Allen |
HighTower Aims to Lure Top Names with Home Office Visit HighTower Advisors has steadily worked to carve out a role as an emerging boutique firm through its high-profile advisor recruitment wins. Many prospective hires are attracted after their first home-office visit. |
Financial Planning
January 1, 2011
Jonathan Beatty |
Joining Forces Does your firm have the human resources infrastructure to recruit and integrate a new advisor or team of advisors? |
Financial Advisor
October 2012 |
Advisor Emporium 1st Global offers CPA consulting service... Lincoln Financial adds lifetime protection... National Advisors Trust expands services... |
Registered Rep.
January 29, 2013
Mindy Diamond |
Independent But Not Alone: How a Former Wirehouse Advisor Leveraged Her Independence to Achieve New Heights In this interview, Michelle talks about her decision to leave the wirehouse world six years ago. |
Financial Advisor
August 2012
Karen DeMasters |
The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers. |
Registered Rep.
September 1, 2005
Grove & Prince |
Theory to Practice For many advisors, the evolution to wealth manager remains a matter of theory, not practice. Sure, they're calling themselves wealth managers, but they're still behaving like financial advisors. |
Financial Planning
November 1, 2009
John J. Bowen Jr. |
Getting the Right Help Financial services firms aren't doing enough to support the transition to wealth management. |
Financial Planning
November 1, 2011
Donna Mitchell |
Hot Topics IRA abuse... Market-neutralizing ETFs... On the move... |
Financial Advisor
October 2005
Sydney LeBlanc |
The Billion-Dollar Equation Skill, service, plus separate accounts are key for advisors managing a billion dollars. |
Registered Rep.
September 1, 2004
David A. Gaffen |
Clean Machines Not all of these Top 50 Advisors have spotless records, but their ability to build such huge practices speaks to how astute they are in avoiding the sorts of complaints that can bring an advisory to its knees. |
On Wall Street
June 1, 2011 |
The Leaders Speak The most influential leaders in wealth management today expound on evolution, revolution, moving the debate past wirehouse versus independent, and more. |
Investment Advisor
August 2006
Mark Tibergien |
Formulas for Success: Get Help If you're buying or selling a financial advisory practice, call the pros. Experienced dealmakers know that the vast majority of the value in a transaction resides in the terms, not in the price. |
Financial Advisor
October 2008 |
Frontline News News: Wall Street Meltdown Could Swell RIA Ranks... Citigroup Defection Illustrates Talent Flight To RIAs... Merger Creates $1 Billion Fee-Only RIA Firm... Boosting Retirement Savings Longevity... Is The Commodities Party Over?... Hometown Investing Can Spoil A Portfolio... |
Financial Advisor
February 2, 2009
Jeff Schlegel |
Surviving The Plunge Amid falling assets and revenue, advisors try to positions themselves for the eventual upturn. |
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. |
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. |
Investment Advisor
October 2005
Melanie Waddell |
The Playing Field: Welcome to the Family Becoming a wealth manager is not quite as easy as it looks. But the mid-tier millionaires are underserved, so honing skills and capturing some of them as clients should be on every financial adviser's list. |
Financial Advisor
January 2009
Eric Rasmussen |
Revenge Of The Wirehouses Large Wall Street firms dangle big incentives to hang onto advisors. |
Registered Rep.
February 1, 2006
Russ Alan Prince |
Rep's Honor Here is how wealth management readily translates into additional assets under management for financial advisers and what they can do reach this target market. |
Financial Advisor
August 2006
Hannah Shaw Grove |
Life Insurance And Wealth Management Helping client with life insurance is an important service of effective wealth managers. |
Registered Rep.
May 1, 2005 |
13 Percent Percentage of advisors who say they have switched to a wealth management model. |
Financial Planning
May 1, 2011
Donna Mitchell |
Hybrid's New Groove Registered investment advisor firms looking for ways to expand their businesses might try turning to broker-dealers for a boost. |
Bank Technology News
May 2006
Shane Kite |
High-net-worth Service: Basic Training For Wealth Advisors Firms like SunTrust are pulling out all the stops to serve the rich, including mentors to help the advisory team deal with every aspect of wealth management, even family counseling. |
Financial Advisor
July 2005
Raymond Fazzi |
Defining Wealth Management The term "wealth manager" has provided more sizzle than clarity in recent years, as more and more advisors have adopted the name as they transition to more comprehensive practices geared toward affluent clients. |
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. |
Registered Rep.
March 22, 2013
Mindy Diamond |
Of Myths and Moving: Part IV When it comes to preconceived notions about the wirehouse world and independence, many advisors have it all wrong. Here are the five most common myths advisors have today. |
Financial Advisor
March 2012
David Lawrence |
Consolidation Quickens Advisors are increasingly turning to others to increase service and decrease costs. |
Financial Planning
September 1, 2006
John J. Bowen |
Behind the Buzz Many advisors are "wealth managers" in name only. Here's how to implement the business model in your practice. |
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. |
Financial Advisor
August 2007
Tracey Longo |
A World For Advisors Broker-dealers across the country are reporting record revenue increases -- a significant portion of these from fee-based business -- and say they're continuing to step up their game in order to recruit advisors with significant practices. |
