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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.   |
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. |
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.
May 8, 2013
Diana Britton |
Moving on Up: Go Independent and Make More $ Advisors who switched firms saw a jump in their compensation, especially among those who went independent. |
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.
May 27, 2015
Megan Leonhardt |
Compensation Survey 2015: Breaking Down the Practice Are the firms that serve advisors ready to support a team-based, ensemble model? |
Investment Advisor
January 2008 |
The Compensation Food Chain Performance-based compensation is the future of investment advisor compensation. |
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. |
Financial Advisor
May 2005
Raymond Fazzi |
Betwixt And Between Hybrid advisors work in both the fee-based and commission worlds. |
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. |
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. |
Financial Advisor
August 2010
Raymond Fazzi |
Looking To Streamline Now that they've experienced the harsh consequences of poor business management, fee-based advisors are looking to their custodians and broker-dealers for all the help they can get. |
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. |
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. |
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. |
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 12, 2003
Ross Tucker |
Slow Growth in Fee-Based Business Relatively few brokers are increasing their commitment to fee-based advisory practices, a new report indicates. |
Financial Advisor
May 2006
Tracey Longo |
What Have You Done For Me Lately? The race is on among independent broker-dealers to recruit more top fee-based advisors. |
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. |
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. |
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.
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. |
Investment Advisor
June 2008
Philip Palaveev |
The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive. |
Registered Rep.
December 8, 2015 |
2015 Broker Report Card: Paying Premium? The percentage of advisors' revenues derived from fee-based business ticked up again this year, for the sixth year running. |
Investment Advisor
September 2008
Philip Palaveev |
The Case for Commissions Commission product uses fall into six primary categories. Read on to see what they are. |
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.
April 29, 2015
Diana Britton |
Advisor Views on The Economy We recently surveyed over 2,000 advisors across channels about their views on the economy and business as part of its 2015 AdvisorBenchmarking All-Channel Report. Here's what they had to say. |
Registered Rep.
April 1, 2012
Kristen French |
Due Diligence: "Fee-Based" is a Four Letter Word for Financial Advisor Clients Do you use the term "fee-based" with clients and prospects? If so, well, don't. |
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. |
Registered Rep.
February 23, 2010
Halah Touryalai |
Clients, The New Breakaways First, there was the breakaway broker phenomenon; now, it seems, we have a growing vogue of breakaway clients -- former wirehouse investors who ditch their old advisors for new ones at independent RIAs or broker/dealers. |
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. |
Registered Rep.
February 18, 2009
Halah Touryalai |
LPL's New RIA Offering Lookin' Healthy; But Still A Pipsqueak Compared To Rivals There are some folks in the industry actually doing relatively well these days. Seriously. LPL Financial said today its new-ish RIA platform now has over $1 billion in new assets. |
Investment Advisor
September 2009
Melanie Waddell |
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away. |
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.
January 22, 2015
Ryan W. Neal |
Advisor Industry Shrinks While Assets Continue to Grow A recent report by Cerulli Associates found that the industry shrank 1.9 percent to 287,119 advisors in 2013. Asset levels, however, are on the rise. |
Registered Rep.
September 24, 2013
Mindy Diamond |
Peeking Over the Fence Is the grass really greener -- and growing faster -- on the other side? Many advisors don't know how limited they are in their growth until they start exploring other options. |
Registered Rep.
April 2, 2012
Diana Britton |
Concert Breaks Into the Hybrid Market Via LPL Partnership RIA aggregator Concert Advisor Services has launched a new hybrid platform, Concert Advisors, and partnered with independent broker/dealer LPL Financial to provide brokerage and custody services. |
Investment Advisor
September 2007
Kathleen M. McBride |
A Trend Confirmed? Advisory fees overtake commission revenue at Commonwealth. So what does this mean for the independent broker/dealer industry? Will other firms soon reach the point at which fee revenue dominates? |
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.
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.
December 4, 2012
Jerry Gleeson |
A Lifestyle Choice REP.'s recent "Practice Management" study shows that RIAs tend to use coaches less than counterparts in other channels. Are time and money constraints the reason? |
Registered Rep.
May 1, 2005 |
13 Percent Percentage of advisors who say they have switched to a wealth management model. |
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.
April 23, 2010
Halah Touryalai |
Compensation Key To Breakaway Recruiting Pitch RIA principals and consultants discuss strategies for wooing and hiring advisors from various different kinds of firms. |
Investment Advisor
October 2010
Maya Ivanova |
A Decade of Evolution Advisory practices make gains, but still face challenges |
Registered Rep.
March 1, 2003
Ross Tucker |
Fees? Sigh, Ho Hum Relatively few brokers are increasing their commitment to fee-based advisory practices, even in this everything-to-gain-from-change economic environment. |
Financial Advisor
January 2005
Tracey Longo |
How Fee-Based Programs Led 2004 Brokerage Profits Fee-based profitability is not lost on brokerage executives, who are ramping up programs designed to attract more planners to a fee-based business model and away from traditional commissions. |
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. |
Financial Planning
June 1, 2008
Elizabeth O'Brien |
Set Me Free LPL Financial staked a bigger claim on the independent advisor market last month with the announcement that the broker-dealer will allow its advisors to do business under their own RIA. |
