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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. mark for My Articles similar articles
Registered Rep.
October 1, 2005
John Kador
Schwab Does It Again Charles Schwab, the pioneering discount broker who was slammed by the tech wreck and suffered through protracted management struggles in the past two years, is beating the wirehouses at their own game. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
January 1, 2006
John Churchill
More, More, More Faced with growing competition from other advice providers and fewer inherent advantages in the way of products and platform capabilities, wirehouse brokers will feel pressure to do more fee-based business and to make wealthier clients a bigger part of their practice. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
December 2006
Evan Simonoff
Challenging Conventional Wisdom The independent advisory market is changing, perhaps in some surprising ways. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
November 6, 2012
John Aidan Byrne
DIY Platforms Are Gaining the Mass Affluent Pressure to serve only the wealthiest, wirehouses are ceding the mass affluent to the independent, DIY brokerage platforms. Indeed, "direct" brokerages are beginning to offer more advice. mark for My Articles similar articles
Registered Rep.
December 1, 2006
Kristen French
60 Seconds with Deborah Doyle McWhinney A short interview about the rivalry between the registered investment advisor (RIA) firms that Schwab caters to and Wall Street wirehouses. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
September 22, 2008
John Churchill
Wall Street's Pain Is RIAs' Gain: Reps Flee Wirehouses, Bring Assets to Fido And Others Despite the still-outsized signing bonuses offered by most Wall Street firms, the steady trickle of brokers leaving wirehouse firms to join or form their own RIA firms is growing. mark for My Articles similar articles
Financial Advisor
January 2008
Bruce W. Fraser
Growing Up Over the next five years, the typical RIA will undergo rapid transformation, and the average RIA firm is expected to at least triple in size. To accommodate such growth, hiring decisions will become critical, stretching far beyond the traditional tendency of firms to simply add more advisors. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
August 2005
Evan Simonoff
The Advisory Profession Revisited A new study paints a bleak future for small financial advisory firms, while arguing that the larger the firm the greater its number of strategic options over the next decade. mark for My Articles similar articles
Registered Rep.
March 1, 2008
Christina Mucciolo
What Can We Do For You? Clearing firms matter to advisors. In fact, one of the biggest deals in the independent b/d business last year hinged on whether the b/ds being sold could maintain their relationships with their old clearing firm. mark for My Articles similar articles
Financial Planning
May 1, 2010
Stephanie Bogan
Model Performance One way to understand advisory industry issues and trends is to look at key practices by business model, affiliation model and practice model. Our recent study does just that. mark for My Articles similar articles
Registered Rep.
August 1, 2006
Kristen French
The Way We'll Be While it's clear how the financial services industry got here, it's not so easy to predict where we're going. Here's a look at three major forces that will likely shape the industry over the next five to 20 years: The Age of Retirement... The Margin Squeeze... RIA Revolution... mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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... mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
December 2005
Melanie Waddell
Breaking Away Brokers are finding it easier than ever to go independent, aided by custodians and other independent advisors. mark for My Articles similar articles
Registered Rep.
November 4, 2011
Kristen French
Indie Exodus: Overhyped? In 2009, in the wake of arguably one of the biggest financial crises this country has seen since the Great Depression, over 3,000 financial advisors left Merrill Lynch, UBS, Morgan Stanley and Wells Fargo to start life over at an independent broker/dealer or RIA firm. mark for My Articles similar articles
Registered Rep.
August 2, 2011
Jerry Gleeson
Ex-Merrill Team: HighTower's Model Is Financial Advisory World's iPod HighTower Advisors' latest recruitment prize, a Merrill Lynch private banking team, says it sees big changes coming in the financial advisory world. mark for My Articles similar articles
Registered Rep.
February 1, 2005
Pam Black
Why More Reps Are Getting Their Kicks on Route 66 What's driving top reps to Series 66 RIA designation is not regulatory rules. It's changes in the wirehouse environment that, newly minted RIAs say, made it harder for them to do their own thing. mark for My Articles similar articles
Financial Advisor
January 2006
Raymond Fazzi
Declaration Of Independence More financial planners are leaving wirehouses to become fee-based RIAs. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
October 2009
James J. Green
More on Migration Cerulli Associates estimates that $800 billion will be moving as advisors change firms. mark for My Articles similar articles
Investment Advisor
January 2006
Maya Ivanova
Listen Up Financial advisory firms are demonstrating their ability to weather the tough times of the last few years. But to continue their profitability in the future, they need to make client service a priority. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
December 2, 2008
Halah Touryalai
RIA Consolidators Going After Wirehouse Reps RIA holding companies are opening their arms to welcome wirehouse advisors, but only the cream of the crop: those who have significant assets under management and heavily fee-based books. mark for My Articles similar articles
Registered Rep.
August 18, 2011
Jerry Gleeson
Market Turmoil Could Slow Advisor M&A Two industry experts expect merger and acquisition activity involving registered investment advisors will drop this year if the current volatility in the stock market stretches into the coming months. mark for My Articles similar articles
Registered Rep.
October 15, 2010
Jerry Gleeson
Fewer, But Bigger Breakaway Brokers Joining RIAs With markets stabilizing and bank-brokerage merger integrations progressing, fewer brokers are fleeing the big Wall Street wirehouse firms for the RIAs and independent b/ds in 2010. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
August 2008
Elizabeth D. Festa
Springtime for Brokers Custodians and independent B/Ds roll out the carpet. mark for My Articles similar articles
Investment Advisor
September 2008
Kara P. Stapleton
Catching up with... Steve Lundquist, recently appointed head of the Registered Investment Advisor channel for JPMorgan Funds, speaks about his business strategy. mark for My Articles similar articles
Financial Planning
September 1, 2009
Donna Mitchell
Roame on RIAs Conversations about change in the registered investment advisory space are constant these days, thanks to volatile markets, new products and demographic shifts. What sort of future will these changes create for the industry? mark for My Articles similar articles
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. mark for My Articles similar articles
On Wall Street
January 1, 2009
Frances A. McMorris
The 2009 Challenge: Embracing Change Now that the major earthquakes seem to be over, advisors at the brokerage firms once known as wirehouses increasingly find themselves asking the question: Should I stay or should I go? mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
September 2009
Melanie Waddell
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
November 1, 2005
Christopher O'Leary
Creating an Escape Plan Independence has long been a dream of many wirehouse reps. But for the great majority of wirehouse pros, it remains simply that. Going independent is a proposition fraught with peril and is not to be taken lightly. mark for My Articles similar articles
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. mark for My Articles similar articles