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Financial Planning
January 1, 2010
Paul Menchaca |
Plains Vision Surrounded by nothing but miles of farmland are the offices of Cambridge Investment Research, a pioneer of the hybrid advisory model.   |
Financial Planning
July 1, 2006
David J. Drucker |
Fee-Based Confusion Cambridge, Commonwealth and Securities America aren't your father's broker-dealers. Although they count reps of all compensation stripes within their ranks, they're clearly leading the new generation to a more professional business model. |
Financial Planning
June 1, 2011
Donald Jay Korn |
FP 50: Revenue Rising The money stream is flowing again: After two years of stagnant or, worse, shrinking revenue, the 50 largest independent broker-dealers report their annual revenues rebounded last year - significantly in many cases. |
Financial Planning
June 1, 2007
Marshall Eckblad |
FP50: Behind the Numbers Revenues among the top 50 broker-dealers soared, costs fell and reps took home more money than ever. But the biggest winners in this year's survey were fee-based products. |
Financial Planning
June 1, 2006
Eckblad & Black |
FP50: Behind the Numbers Broker-dealers are reporting healthy growth -- especially in fee revenue. |
Financial Advisor
June 2010
Jeff Schlegel |
Who's Your Market? Some broker-dealers have niches that set them apart. |
Financial Advisor
August 2012
Karen DeMasters |
The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers. |
Financial Planning
June 1, 2006
Joan Warner |
FP50: Where the Growth Is With their market share growing 20% a year and the boomer generation's accumulated treasure to deploy, independent broker-dealers are on a prosperous path. |
Financial Planning
June 1, 2007
Donald Jay Korn |
FP50: Pressure Points It's a great time to be in financial services. But broker-dealers' challenges are growing as fast as their opportunities. |
Financial Planning
July 1, 2006
Donald Jay Korn |
What's in it for YOU Broker-dealers are ramping up their recruiting efforts and courting top planners. Here's what they're looking for -- and what they're putting on the table. |
Financial Planning
June 1, 2008
Stacy Shultz |
Lookin' Good, Broker Dealers As baby boomers approach retirement, some believe there could be no better time to be in the financial services industry. |
Financial Advisor
January 2006
Tracey Longo |
Working Smarter, Not Harder As more independent broker-dealers set themselves up as strategic outsourcing partners, they are finding bigger and better firms driven to their door by stagnant or shrinking profit margins and the accelerating compliance melee. |
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
March 2012
Eric Rasmussen |
Swimming In Shallow Water Broker-dealers face a stagnant rep pool, shrinking margins and the choke hold of regulators. But it's been a boon to the biggest consolidators. |
Financial Advisor
August 2006
Tracey Longo |
Late Summer Recruiting While the recruiting party will get tougher some day for broker-dealers who cater to independent advisors and reps, for now they are enjoying their competitive advantage: They give brokers and advisors who want to own their own business the chance to do that. |
Financial Planning
June 1, 2008
Donald Jay Korn |
All Systems Go Clients and income hold steady in the financial services industry. |
Financial Planning
June 1, 2012
Ann Marsh |
Go Big or Go Home There's a stark choice facing many players in the rapidly consolidating independent B-D game for the foreseeable future: Grow like crazy or call it quits. |
Financial Planning
June 1, 2010
Paul Menchaca |
Tale of a Tough Year What the numbers show: a dramatic seven-month stock market rally was not enough to help most of the top 50 broker-dealers counter the aftershocks of the financial crisis. |
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. |
Financial Advisor
January 2004
Tracey Longo |
Reversal Of Fortune Independent brokerage firms experienced a turnaround in 2003. |
Financial Advisor
June 2008
Tracey Longo |
Swimming Upstream California investment advisor John Threlkeld has been working diligently to serve wealthier and wealthier investors, even purchasing two other advisors' practices and turning all but his top clients over to a junior planner. |
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, 2010
Paul Menchaca |
Survivor Island Firms that endured the worst of the financial crisis and lived to tell about it. |
Financial Advisor
August 2004
Tracey Longo |
All Aboard Planners and advisors continue to switch independent broker-dealers. |
Financial Planning
June 1, 2005
Black & Liptow |
FP50: The Rising Tide Among the 50 largest independent financial advisory firms--this year's FP50--revenues and assets under management were up, and losses were down. The leaders are holding their top slots, while many newbies are growing at a dramatic clip. |
Financial Advisor
June 2009
Jeff Schlegel |
Money In Motion The economic crisis has wreaked havoc on wirehouses, and more advisors are looking for new opportunities. |
Financial Advisor
December 2009
Eric Rasmussen |
Big Guys Fight Back Broker-dealers try to find their bearings in 2010 as their antagonists push back. |
Financial Planning
June 1, 2013
Ann Marsh |
FP50: Big IBDs Hit a Speed Bump Is the boom over? After years of double-digit growth, independent broker-dealers hit a rough patch in 2012. We report from the front lines of the FP50. |
Financial Advisor
September 2005
Bruce W. Fraser |
How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process. |
Financial Planning
June 1, 2008
Philip Palaveev |
Be Careful What You Wish For Understanding the advisor and independent broker-dealer relationship. |
Financial Planning
November 1, 2005
John Bowen |
Small Steps, Big Results Financial advisers don't have to make sweeping changes in their businesses to alleviate some of their most pressing concerns, like: finding new wealthy clients... fighting for clients... growing assets... etc. |
Financial Planning
June 1, 2009
Paul Menchaca |
Oh, the Drama The broker-dealers who spoke to Financial Planning in this year's annual survey are busy negotiating the downturn by improving their infrastructure, expanding through recruitment and eyeing an economic rebound. |
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 Planning
February 1, 2006
Donald Jay Korn |
Custody Battle Although three custodians now get most of the RIA business, increased competition may lead to more choices -- and more services -- for financial planners. |
Financial Advisor
January 2007
Tracey Longo |
Allure Of Independence Remains Bright Independent broker-dealers step up their recruiting efforts among reps and the already liberated. |
Financial Advisor
February 2007
Thomas M. Kostigen |
Firm Offers Reps Their Own Hedge Funds Independent broker-dealer First Allied's program raises questions about risk and conflicts. |
Financial Planning
May 1, 2007
Elizabeth O'brien |
Snagging Breakaways Schwab Institutional and Cambridge Investment Research have joined forces to attract financial advisors turning independent. But just how big is the prize? |
Financial Planning
June 1, 2006
Elizabeth O'Brien |
Dueling Platforms As the major custodians enhance their technology offerings for registered investment advisers, they're all seeking a competitive edge. |
Financial Advisor
November 2008
Raymond Fazzi |
Disclose, Baby, Disclose Firms such as Schwab, Fidelity, LPL and Raymond James have made no secret of their desire to take advantage of the distress on Wall Street by luring top producers from Merrill Lynch and other troubled wirehouses. |
Financial Planning
April 1, 2005
Kristen French |
The Referral Challenge TD Waterhouse is betting that a referral program modeled on Schwab's highly successful system will help it hold on to high-net-worth clients. |
Financial Advisor
August 2007
Tracey Longo |
A World For Advisors Broker-dealers across the country are reporting record revenue increases -- a significant portion of these from fee-based business -- and say they're continuing to step up their game in order to recruit advisors with significant practices. |
BusinessWeek
March 3, 2011
Christopher Condon |
The Rise of the Registered Investment Adviser Providing mainly fee-based guidance, they now help manage $1.7 trillion in assets |
Financial Advisor
May 2005
Raymond Fazzi |
Betwixt And Between Hybrid advisors work in both the fee-based and commission worlds. |
Investment Advisor
September 2008
James J. Green |
You're the Tops In a comprehensive face-to-face discussion, the leaders of the Broker/Dealers of the Year explain their firms' unique charisma and how they plan to remain at the summit of their professions. |
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
May 1, 2005
Ed McCarthy |
Making the Switch As advisers shift from a commission-based model to a fee-based one, how are their practices handling the change? |
Financial Advisor
January 2011
Bruce W. Fraser |
Crafting A Comeback With new leadership at its parent AIG, Advisor Group's trio of broker-dealers venture forth on the road to recovery. |
Financial Planning
August 1, 2005
Bob Hirschfeld |
TD Ameritrade's Good Deal The merger of the two online broker-dealers will transform the new firm into a top contender. |
Financial Advisor
November 2010
Bruce W. Fraser |
Out Of Retrenchment Independent broker-dealers see good recruiting opportunities in 2011. |
Financial Advisor
June 2009
Joel P. Bruckenstein |
Stepping It Up Broker-dealers are enhancing the technology they offer to advisors. |
