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Financial Planning January 1, 2013 Scott Wenger	Editor's Note: Independent by Choice The shaping of this year s list reveals plenty about the shifting dynamics of the RIA industry.
Financial Planning January 1, 2012 Ann Marsh	The Largest RIAs Race to Scale RIAs work to address their top challenges: boosting their efficiency, customizing their technology and differentiating themselves from the competition.
Registered Rep. December 1, 2006 Anne Field	The Metamorphosis If you are ready to go out on your own as a registered investment advisor, you're likely to encounter a host of tricky problems and stumbling blocks. Here's a look at five of those problems and what you can do about them.
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.
Financial Advisor July 2011 Bernie Clark	A Record Year For RIAs Discipline both on the expense and client care sides has created sound business practices for an evolving RIA industry.
Financial Planning September 1, 2008 Callahan & Malo	Hybrid Chic A trend toward hybrids in the financial services industry is emerging. Increasingly, firms, advisors and brokers are establishing practices that manage both commission -- and fee-based businesses.
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. November 1, 2005 Christopher O'Leary	Going All the Way Across the country, registered rep employees of national broker/dealers daydream of chucking it all and going off on their own. But how far do you go? Which is the best model for keeping the most of what your business generates?
Registered Rep. November 21, 2012 Jerry Gleeson	Why Wirehouse FAs Pass on the RIA Path Independence is appealing to a growing number of wirehouse advisors, but the RIA route clearly has some challenges for most of them.
Registered Rep. March 6, 2014 Diana Britton	Independent Channels Continue to Steal from Wirehouses RIA and dually registered advisory channels will grow their share of the advised assets to 26 percent by 2016, according to a report by Cerulli Associates. That growth will largely come at the expense of the wirehouse channel.
Investment Advisor July 1, 2011 John Sullivan	Finding Success in Succession Planning Whether you're affiliated with a broker-dealer or completely independent as an RIA, proper succession planning helps you realize value long before you walk out the door.
Financial Advisor July 2011 Andrew Gluck	Redefining Financial Advice The fate of professionalization and the FPA hang in the regulatory balance.
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.
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.
Registered Rep. October 24, 2007 Halah Touryalai	The New New RIA Model: Sharing Back Offices The barriers to going independent are shrinking. Don't believe it? Check out Mraz, Amerine & Hirschler & Associates, a firm launched by three wirehouse advisors who left Morgan Stanley earlier this month with $400 million in client assets.
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 September 1, 2011 Nick Georgis	Taking The Hybrid Road As more advisors transition to independence these days, a growing number of them are choosing to adopt a hybrid business model that lets them conduct both commission-based brokerage business and fee-based advisory business. For many advisors, the hybrid road may offer the best of both worlds.
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. August 1, 2005 Matt Barthel	RIAs in Flux The pioneering ways of registered investment advisors (RIAs) are coming back to bite them. Once on the cutting edge of "holistic" financial planning and fee-based client relationships, RIAs are now just one of a pack of firms offering such services.
Financial Advisor October 2011	Frontline News Independent Advisors On The Rise... Uncertain Times For BofA Advisors... Gen Y Good Target For Advisors... etc.
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 March 2006 Melanie Waddell	The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.
Financial Planning September 1, 2007 Bob Veres	The Dual Reality The FSI and independent broker-dealer community have become pivotal voices in the profession. What they see in the future might surprise you.
Financial Advisor June 2006 Cort Smith	Focused On Big Focus Financial has become one of the largest RIAs only months after it opened its doors. Founder Rudy Adolf says they're just getting started.
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.
Registered Rep. February 7, 2012 Diana Britton	Are Regulations Killing the Hybrid Financial Advisor? Some advisors say new compliance and regulatory burdens under Dodd-Frank are making the hybrid model untenable.
Investment Advisor May 2009 Kelli Cruz	Walk On The trend of wirehouse advisors joining the independent RIA channel has ramped up significantly in the last several years, and is only increasing in the wake of Wall Street's epic meltdown.
Registered Rep. April 16, 2012 Jerry Gleeson	If You Build It, Will They Come? RIA Consortium Says Branding Is Key Advizent wants to unite the fractured universe of RIAs, impose standards on the practitioners, get better deals from vendors and educate potential clients on the merits of the independent channel.
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. 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 December 1, 2008 Brooke Southall	RIA Power Registered investment advisory firms are bringing in more assets these days than are wirehouse brokerage firms.
Financial Advisor July 2010 Evan Simonoff	Are Advisors Delusional? Fiduciary Network CEO Mark Hurley says they are because they believe their firms are very valuable -- but most aren't.
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.
Financial Advisor August 2009 Eric Rasmussen	Wish Upon An 'IAR' RIA or IAR? Registered investment advisor or independent advisor representative; the anagram you choose will depend on how big you are and how independent you want to be.
Financial Planning January 1, 2012 Scott Wenger	Learn from the Leaders A quick guide to several articles about RIA leaders and details about the industry.
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.
Financial Advisor March 2012 Brian Hamburger	Success Breeds Envy Wirehouses and banks wage their most successful battle yet against RIAs.
Financial Advisor May 2011 Andrew Gluck	Finra Makes Its Move Who regulates financial advisors may shift. Here's a look at the positions various groups are taking on fiduciary standards.
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 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.
Financial Advisor November 2010 David Lawrence	Back In The Fold? Will the new regulations force independents to return to broker-dealers?
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.
Financial Planning August 1, 2008 Stacy Schultz	B-D of the Future The Broker-Dealer of the Future, Pershing's first study on the industry, identifies factors facing broker-dealers new competitive landscape.
Financial Advisor November 2008	Frontline News News for the Financial Industry: Tumult Could Expand Ranks Of RIAs... M&A Activity Remains Healthy... Independent B-Ds: Don't Tread On Us... Who Has The Most Satisfied Advisors?... The Business Of Serving Business Owners... etc.
Financial Planning July 1, 2012 Bob Veres	Gaps of Logic FINRA has been an effective bludgeon against the small independent B-D world, creating paperwork requirements whose costs are best amortized over larger hordes of retail advisors.
Registered Rep. May 1, 2012 Jerry Gleeson	60 Seconds: Catherine A. Saunders Catherine A. Saunders was named about three years ago to lead a product sales drive to fee-based RIAs.
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.
Financial Advisor March 2011 Andrew Gluck	Members Only Good intentions and strict rules may have backfired for the Financial Planning Association at a time of change.
Registered Rep. February 26, 2013 Megan Leonhardt	Let's Make A Deal The RIA M&A market is poised for growth, but not gaudy growth.
Financial Planning July 1, 2009 Paul Menchaca	Soft Landing Most Wall Street refugees are taking measured steps toward independence by joining an independent broker/dealer, rather than launching a registered investment advisory practice on their own.