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Registered Rep.
December 8, 2015 |
2015 Broker Report Card: Advisor Satisfaction For those advisors employed at national broker firms, overall satisfaction took a hit as markets remain uncertain.   |
Registered Rep.
March 31, 2015
Megan Leonhardt |
The Increasingly Happy Broker Generally speaking, the smaller the firm, the happier the broker, according to our fifth Independent Broker/Dealer Report Card survey. |
Registered Rep.
March 31, 2015
Diana Britton |
The Rare Prop Product In REP.'s fifth annual Independent Broker/Dealer Report Card, only 19 percent of 2,058 advisors surveyed said they sell in-house or proprietary products. |
Registered Rep.
November 5, 2012
Scott Smith |
Look Before You Leap The very benefits IBDs have used to lure advisors may actually be their undoing. |
Registered Rep.
June 1, 2012
Diana Britton |
Breaking Out: A New Era in Insurance Insurance firms constantly go through cycles of acquisition and sale when it comes to their broker/dealer subsidiaries. But the current sell cycle is different, and it may shake up how the business works. |
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. |
Registered Rep.
December 2, 2014 |
Best of the Best 2014 Unlike many of our competitors, we are as transparent as possible about our criteria and methodology when publishing a ranking. |
Financial Advisor
May 2012 |
Satisfaction A job satisfaction study by J.D. Power found that financial advisors' happiness with their work is most dependent on their firm's performance. |
Registered Rep.
December 8, 2015 |
2015 Broker Report Card: How National Brokerage Firms Stack Up REP.'s 25th annual Broker Report Card is the survey that lets advisors from the six major national brokerages rate their employers across a range of factors |
Registered Rep.
July 29, 2013
Diana Britton |
No Man Is an Island Independent broker/dealers are dressing up their offerings to attract and retain advisors tempted to start their own RIAs. |
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 Planning
June 1, 2007
Kathy Gevlin |
Advisor Pulse The happiest financial advisors really do put their clients first, asserts the first study of advisor satisfaction. |
Investment Advisor
September 2007
Kara P. Stapleton |
Changes Ahead for 403(b)s Retirement plan advisors, distributors, and providers are finding themselves responding on the fly to the trends shaping the 403(b) and 457 markets. New regulations will add paperwork and confusion say critics. |
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.
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. |
Registered Rep.
November 1, 2007
Erik Kolb |
Fighting The Brand X Syndrome How do independent advisors choose a broker/dealer firm to work for? Since most firms offer similar services, the decision usually comes down to "squishy" qualitative factors, like feel, culture and personal touch. |
Registered Rep.
February 8, 2012
Diana Britton |
Consolidation 2012: Lincoln Scoops Up Capital Analysts for HNW Foothold Lincoln Investment Planning, an independent broker/dealer in Philadelphia, announced it will acquire independent broker-dealer Capital Analysts from insurance firm Western & Southern Financial Group. |
Registered Rep.
October 19, 2011
Diana Britton |
Registered Rep/Wealth Management.com Research: Indies, Insurers Take Lead on Social Media RIAs, independent broker/dealers and insurance companies are taking the lead in social media usage, ahead of wirehouses, regional firms and bank brokerages. |
Registered Rep.
June 27, 2011
Diana Britton |
The Good, the Bad and the Ugly It seems like every week, another independent broker/dealer goes under or up for sale because of a bad private placement or other problematic alternative investments. All that turmoil has left a pool of advisors out in the cold, looking for new firms to call home. |
Registered Rep.
March 1, 2007 |
The Process How can an advisor be sure to find a new independent b/d that is the right fit? With so many firms to choose from, how can a rep begin to narrow down his search? |
Registered Rep.
December 2, 2014
Megan Leonhardt |
Drivers of Advisor Satisfaction: Technology And Efficiency Financial advisors are known to harbor a strong streak of independence and autonomy, and aren't shy when it comes to letting their opinions be known, both good and bad. |
Registered Rep.
April 20, 2011
Anne Field |
How to Market Yourself -- When Marketing is Not Your Strong Suit After switching broker dealers, a long-time advisor is looking to attract a handful of reps to his new branch and to publicize his association with his current b/d. |
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 1, 2008
Mindy Diamond |
What To Know Before You Switch Here are 10 things every financial advisor should evaluate when deciding where to land his next gig. |
Registered Rep.
December 3, 2013
Megan Leonhardt |
Out From Under A rising market lifts many spirits, including advisor satisfaction with the firm that employs them. |
Registered Rep.
February 16, 2010
Mindy Diamond |
Recruiting Bonuses Are Still Strong TD Ameritrade, Schwab, Fidelity and Pershing are all reporting that their pipelines of interested advisors is more robust than ever in their collective histories. |
Registered Rep.
January 1, 2006
Halah Touryalai |
The Winner's Curse Many advisors independent b/ds recruit have now unrealistic expectations: They want full technical and marketing support, as well as help understanding products and asset managers. |
Registered Rep.
March 1, 2006
Kristen French |
The Best of Both Worlds Advisors say the broker/dealer-RIA hybrid model gives them freedom to choose what products, services and fees are best for their clients. |
Registered Rep.
February 14, 2012
Diana Britton |
Yield of Dreams: IBD's Biggest Competition Might be a Custodian As margins continue to be squeezed, IBDs are going to have to get creative with where their revenues comes from, and that means expanding into the RIA and custody market. The question is, who'll make the next move? |
Financial Planning
December 1, 2010
Joel Bruckenstein |
Technology Survey 2010 With the renewed interest and investment in advisor technology, we expect to see further gains next year. It is a slow process, but as an industry we are becoming more technologically proficient. |
Registered Rep.
March 31, 2015
Diana Britton |
Perks of Being an IBD Advisor Many b/ds offer their reps special perks and incentives beyond payout |
Registered Rep.
July 14, 2009
Halah Touryalai |
Financial Advisor Switching Firms Jumps in June June was a busy month for financial advisors on the move. The number of advisors switching firms jumped 45 percent in June versus May, according to Discovery Database. |
Registered Rep.
February 27, 2003
Will Leitch |
Wealthy Clients Growing Disenchanted with Advisors A just-released report from the Spectrem Group, a Chicago-based consulting firm specializing in the affluent market, says only 59 percent of high net-worth clients are pleased with their advisors' performance. That's down from a 79 percent satisfaction rate just two years ago. |
Registered Rep.
March 1, 2006
Allen Plummer |
The Tech Decision Matrix Independent contractors or registered investment advisor reps have tough decisions in choosing their back-office and tech solutions. Here's what they need to consider. |
Registered Rep.
May 26, 2010
Jerry Gleeson |
Bonuses No Balm For Some Breakaway-Minded Brokers Paying retention bonuses to top brokers to keep them from jumping ship is a pricey strategy that only works some of the time, a report released today by Aite Group shows. |
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 Planning
January 1, 2013
John J. Bowen, Jr. |
How to Increase Client Satisfaction It s not about your skills, it turns out - other factors are more important in maintaining happiness and loyalty. |
Registered Rep.
November 4, 2014
Megan Leonhardt |
Wires Have Biggest Social Media Footprint Out of all advisors, it's those sitting at banks who are most reluctant to embrace social media -- only about one out of every five use it, a number that has not budged much from previous years. |
Registered Rep.
July 10, 2006
Halah Touryalai |
Survey Says: To Get More Assets, Do Well for Current Clients When it comes to investing, the bottom line for your financial advisory clients is, well, the bottom line. Sounds obvious, right? Still, you might be surprised at how important satisfying client demands is to your business. |
Registered Rep.
November 30, 2012
Diana Britton |
Withering Wirehouses? Not Quite. Many industry propellerheads have forecasted an exodus of wirehouse advisors to the independent channel as retention bonuses unwind this year. |
Registered Rep.
June 2, 2011
Diana Britton |
America's Top Independent Brokerages The Merrills and Morgan Stanleys of the world say it was never an exodus, the migration is over, and it was only those advisors who couldn't make it in the cutthroat wirehouse world who crossed over to the independent side of the business. |
Registered Rep.
October 30, 2015 |
The State of Independence: Robo Rising Advisors like automated investment platforms for a number of reasons. |
Registered Rep.
January 3, 2008
Christina Mucciolo |
SEC's RAND Study Released The SEC release the results of the RAND study, which examined how broker/dealers and investment advisors market products and services to investors, and how investors understand the differences between investment advisors and broker/dealers. |
Registered Rep.
July 1, 2006
Stan Luxenberg |
B Is Not for Bad Class B mutual fund shares are under assault. Regulators have fined some advisors for recommending B shares when A shares, which offer so-called breakpoint discounts, would have been cheaper for clients. |
Registered Rep.
September 11, 2009
Halah Touryalai |
Survey Says: Wall Street Advisors Going...Wait For It...Independent! Wall Street wirehouse firms are expected to see a net loss of $188 billion in client assets to other channels in the industry, including RIAs, independent broker/dealers and regional b/ds. |
Registered Rep.
February 4, 2013
Diana Britton |
Faking It: Our Third-Annual IBD Report Card Survey The economics of the IBD business haven't changed; independent b/ds are up against it. They're faced with rising regulatory costs and a greater demand for technology investment to stay competitive. |
Registered Rep.
September 1, 2010
Halah Touryalai |
Outgrowing the SERIES 7 There is a coveted cohort of dually registered advisors who are dropping their Series 7 licenses and leaving their b/ds behind. |
Financial Planning
November 1, 2008
Stacy Schultz |
Key to Happiness The key to an advisor's happiness is support, at least for the independent advisor. |
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.
April 29, 2009
Halah Touryalai |
Wirehouse Advisors Switch Firms in March The number of reps switching broker/dealers during the month was up 34 percent versus the number who switched in February. |
