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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 Planning
March 1, 2012
Donna Mitchell |
LPL Aims High In its earning call last month, LPL Investment Holdings shared strong performance numbers for fourth-quarter and full-year 2011. |
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. |
Registered Rep.
April 2, 2013
Diana Britton |
Comings & Goings: April 2013 Scott Collins, former CEO of FirstPoint Partners, has moved to TD Ameritrade Institutional... Raymond James has named Vin Campagnoli as chief information officer... Convergent Wealth Advisors has hired John Mastal as managing director... |
Financial Planning
December 1, 2008
Brooke Southall |
RIA Power Registered investment advisory firms are bringing in more assets these days than are wirehouse brokerage firms. |
Financial Planning
September 1, 2011
Donna Mitchell |
Happy Mediums Online brokerage giants are taking market share from almost every segment of the financial advisory business - except for RIAs. |
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. |
Financial Advisor
March 2005
Marla Brill |
Investing IRAs In Real Estate It may be a controversial investment option, but more clients are doing it with advisors' help. |
Registered Rep.
October 25, 2011
Charles Paikert |
Dynasty, Focus Team Up as Battle for Independents Intensifies The already fierce battle among service providers and aggregators to win the allegiance of independent advisors is heating up, with new business models, strategies and unlikely alliances roiling one of the industry's most competitive sectors. |
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
July 2012
Eric Rasmussen |
Storm Chasing In a volatile market year, growing RIAs sought opportunity. |
Registered Rep.
February 7, 2012
David A. Geracioti |
Von Aldo: AMTD Institutional Promotes Bradley, Nally Just two days after the close of iTD Ameritrade Institutional's annual gabfest, Tom Bradley, the president of the institutional unit, was named head of TD Ameritrade Holdings' retail distribution unit. Succeeding him will be Tom Nally. |
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
April 1, 2010 |
Frontline News Advisor news: Is Your Client's Private Info Secure?... Hybrid Brokerages Shine Light On New Space... CFP Aspirants Need A Plan... Wanted: Silver Bullet For Retirement Income... more... |
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. |
Registered Rep.
July 15, 2010
John Byrne |
UBS Launches New Wealth Planning Unit Tony Roth, who previously ran the brokerage's private wealth management portfolio advisory group, has been named to lead the new division. |
Financial Advisor
July 2006 |
The Golden Age of Growth As the RIA profession continues to grow and mature, it will be interesting to see if it retains its heterogeneous, inclusive character or evolves into a more homogenous business, as so many industries do over time. |
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. |
Financial Advisor
February 2011
Evan Simonoff |
A Different Playing Field Regulatory reform is at the top of RIAs' minds going into 2011. |
Financial Advisor
February 2007 |
Frontline News Schwab Offering Loans To RIAs Going Independent... TD Ameritrade Purchases iRebal... Suitability Standards For DPPs Could Rise... N.J. Firm Was B-D's Biggest Catch In '06... etc. |
On Wall Street
October 1, 2009
Lauren Barack |
The New Retirement Portfolio Repairing retirement portfolios is front and center for every advisor. Unfortunately, depending on an investor's age, rebuilding back to their old balances may not be possible. |
Financial Advisor
July 2009
Eric Rasmussen |
Surviving The Storm Account sizes, staff and profits have shrunk, but far more firms gained clients than lost them. |
Registered Rep.
July 1, 2011
Jerry Gleeson |
Selling Alpha? BAD MOVE. Talon Asset Management announces it is selling about two-thirds of its business to global investment manager BNY Mellon. |
Registered Rep.
October 17, 2011
Kristen French |
Wells Fargo Wealth/Brokerage Client Assets Decline; Asset-Based Revenue Up Wells Fargo's wealth brokerage and retirement businesses reported third quarter income of $291 million, up 14 percent versus the year ago quarter, while revenue for the division was down 1 percent from the year ago quarter. |
Financial Planning
January 1, 2013
Donald Jay Korn |
Top Custodians: Battling for Custody Custodians try different strategies for growth as advisors break away to join RIA firms. |
Investment Advisor
August 2007
Jaime J. Raskulinecz |
The Tax-Free Investing Opportunity When all is said and done, what makes the Roth IRA such a wonderful wealth accumulation device is not just the tax-free nature of accumulation and distributions. It has the potential to add additional decades of tax-free investing beyond what is offered by an ordinary IRA. |
Investment Advisor
July 2010
Lewis Schiff |
Succession Planning: Buying and Selling Wealth Management Practices 2010 could be the biggest year ever for mergers and acquisitions in the financial advisory industry, but the players and strategies are different than they were prior to the market turndown. |
Financial Advisor
November 2004 |
Frontline News New CFP Board CEO Offers Her Ideas... FPA Has Its Day On Capitol Hill, Mixing Planning With Politics... Investigations May Aid Lawsuit To Rollback Broker Exemption... RIA Business Boomed in 2003, But Profit Margins Shrank... etc. |
Financial Advisor
March 2006 |
Frontline News AST Trust Purchases Capital Trust Co. Of Delaware... Intuit Poised To Release PortfolioMinder... Financial Advisor Plans Top RIA Ranking... Morningstar Workstation Available At TD Ameritrade... Rule Is `First Step'... etc. |
Financial Advisor
July 2004 |
Problems Cited In Broker-Dealers' Variable Insurance Sales and More The newly released study comes as the NASD is proposing new rules governing the sale of deferred variable annuities... Board Of Standards Increases CFP Certification Fee... Technology Continues To Frustrate Advisors, FPA Study Says... etc. |
Financial Advisor
January 2004
Dorothy Hinchcliff |
Custodians Are Knocking More custody players have been clamoring for the business of registered investment advisors, and that trend will continue this year, say two well-known research firms for financial institutions and investment managers. |
Registered Rep.
February 7, 2012
Diana Britton |
LPL Posts Record Revenue For Year, Despite Volatility While other firms suffered in the fourth quarter on slow client activity, LPL Financial announced earnings today of $39.4 million for the quarter, up $156 million from a net loss of $116.6 million in the fourth quarter 2010. |
Financial Planning
June 1, 2012
Ackermann et al. |
Hot Topics Ultrawealthy increase allocation to aternative investments... Independent broker-dealers struggling to survive... LPL nabs $560M team... |
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. |
Financial Planning
September 1, 2006
Elizabeth O'Brien |
Target: RIAs The New York City-based company has expanded well beyond its roots as a discount brokerage for do-it-yourself investors. E*Trade seals a greater foothold in the crowded wealth management arena. |
Investment Advisor
December 2007 |
Upgrades LPL Financial Services has partnered with Fiduciary360... Kochis Fitz of San Francisco and Quintile Wealth Management of Los Angeles say they will merge... etc. |
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. |
Financial Planning
January 1, 2012
Ed Slott |
On Guard Even if a client has a self-directed IRA outside your purview, holding documented discussions of the perils could go a long way to protect you as well as your client. It's a good way to show your IRA expertise. |
Registered Rep.
January 8, 2010
Halah Touryalai |
A Hedge Fund Resurgence There is legislation in Congress that would require hedge funds to make greater disclosures about the details of their operations. The increased regulation coupled with a recent uptick in hedge fund performance will likely entice some advisors to put their clients back into hedge funds. |
Financial Advisor
May 2007
Eric Rasmussen |
What's New At The Custodian Custodians are continuing to offer new services for fee-only planners in their efforts to woo RIAs. |
Financial Advisor
February 2010
Sherri Scordo |
Frontline News Financial Services News: Branch Managers Break Away To Independence... Call For Fiduciary Standard Unites Disparate Forces (Sort Of)... Independent Contractor Status Under Review... Retirement Planning Industry To Be A Top Performer In New Decade... more... |
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. |
Registered Rep.
March 31, 2015
Mindy Diamond |
The Relocation of Institutional Consultants What's changed in the institutional space and started this billion-dollar trend? |
On Wall Street
July 1, 2010
Lee Conrad |
Barclays Builds Its Beachhead In The U.S.-- But Can It Pick Up The Pace? There are lingering questions in some corners over whether Barclays Wealth can really make a go of it in the United States. |
Financial Advisor
October 2006 |
Frontline News Many Planners Underwhelmed By Software... EISI Buys Financial Profiles... Affluent Ignore Retirement Planning, Survey Finds... Skip Viragh Award Goes To Evensky And Hopewell... Oxford Financial Names Investment Chief... etc. |
Financial Advisor
May 2005 |
Frontline News FPA Weighs Decision On Lawsuit's Fate... Female Planners Have Reasons To Be Optimistic, Study Finds... Fidelity Expanding Commitment To RIA Business... LPL Hits The Road To Help Advisors Train Staff... IRAs Safe From Creditors But Only in Some States... Lack Of Planning Adds To Woes Of Special Needs Families... |
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. |
Registered Rep.
September 24, 2014
Jerry Gleeson |
Custodian Castoffs Scottrade won't comment on the number of advisors it culled last summer, but other custodians say they've seen a sharp increase in the number of former Scottrade advisors who are now looking for a new home. |
Financial Planning
September 1, 2012
Jim Grote |
Stewart Koesten, KHC Wealth Management Profile It takes plenty of schooling and savvy to coach executives. |
Registered Rep.
March 1, 2008 |
Independent Together The "RIA-in-a-box" model will attract plenty of wirehouse reps who may have previously balked at the idea of going completely independent, fearing they were unprepared to run their own businesses. |
