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Financial Advisor September 2007 Tracey Longo |
Demand For Trusts Explodes Growing sophistication and complexity in people's lives, along with escalating wealth and an aging population, make trusts a necessity for a far wider swath of the U.S. population these days.  |
Financial Advisor September 2006 Tracey Longo |
There For The Asking? Some agree banks' loss of investors' trust assets is a financial advisor's gain. Now, for that marketing plan.  |
Financial Advisor September 2004 Dorothy Hinchcliff |
Here Come The Big Boys Fidelity and Pershing are competing for advisors' trust business.  |
Financial Advisor September 2008 Tracey Longo |
Laws Of Attraction A firm's ability to navigate trusts can be their calling-card to attract high-net-worth clients.  |
Financial Advisor September 2005 Raymond Fazzi |
A Question Of Trust Custodians square off in a newly competitive trust services market.  |
Financial Advisor May 2011 Eric Rasmussen |
Busting Into Trusts Personal trust assets are moving out of the longstanding grip of bank trust departments. It's the independent RIAs' game to lose if they don't step up.  |
Investment Advisor January 2007 Bob Clark |
The Trust Threat Financial advisors need to rethink adding trust services to their offerings.  |
Financial Advisor September 2009 Cathleen M. Clauson |
Unlocking Opportunity Trusts are a good way for advisors to expand their businesses. Here's why.  |
Financial Advisor November 2005 Tracey Longo |
All For Advisors Brokerage executives are doing their best to deliver the tools advisors need to move their business to the next level, while still remaining efficient. That includes streamlined technology, investment and rebalancing selections, outsourcing, practice management and business development assistance.  |
Financial Advisor January 2008 Tracey Longo |
Breakaway Brokers Despite being in business a shorter amount of time than the average advisor, breakaways have more assets under management, higher total revenues and a significantly higher growth rate.  |
Registered Rep. June 1, 2005 Kristen French |
Fido Attacks! Long a distant second to Charles Schwab in the lucrative business of serving financial advisors, Fidelity is making an aggressive push to close that gap. And some advisors are taking notice.  |
Financial Advisor May 2007 Eric Rasmussen |
What's New At The Custodian Custodians are continuing to offer new services for fee-only planners in their efforts to woo RIAs.  |
Financial Advisor February 2004 Sydney LeBlanc |
Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms.  |
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.  |
Investment Advisor November 2006 |
Now and Then When it comes to plowing through the complexities that are associated with retirement planning, advisors need all the help they can get. Fidelity looks ahead to dominate retirement planning now.  |
Financial Advisor May 2005 Lavine & Liberman |
Uncertain Future The Fidelity Executive Forum raises issues about where the money management industry is headed.  |
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.  |
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 April 2005 Tracey Longo |
How Boomers Will Change Your Firm What will your financial advisory firm look like in 2015? With about 75 million baby boomers retiring, different than than it does now.  |
On Wall Street January 1, 2011 Matthew J. Lynch |
Team With Rivals To Better Serve Trust Clients As the financial services industry continues to grow more complex with increasing numbers of new business models, a surprising new niche has opened, allowing traditional rivals-financial advisors and trust companies-to work together.  |
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?  |
Registered Rep. October 29, 2009 Kristen French |
RJFS Raises RIA minimums, LPL Pulls Past RJ in RIA Assets Raymond James is raising minimums for new RIAs who want to custody assets on its RJFS-IAD platform from $30 million to $50 million.  |
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 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.  |
Registered Rep. January 25, 2010 Halah Touryalai |
LPL's New RIA Platform Rakes in Assets Since launching the platform in October 2008 through the end of 2009, the firm gathered $7.3 billion in 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.  |
Financial Advisor September 2006 Andrew Gluck |
Referencing Referrals While many financial advisors around the country struggle to bring in new clients and grow their businesses, others enjoy an embarrassment of riches -- they have so much new business they don't know how to handle it. Why?  |
Registered Rep. August 26, 2011 Jerry Gleeson |
Schwab Apologizes Over Sales Pitch to Advisor Clients Schwab found itself apologizing for violating its own policy of pitching portfolio products to retirement plan sponsors who were clients of retail financial advisors and turnkey asset management programs that have custodial relations with the firm.  |
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 June 2007 Raymond Fazzi |
Follow The Money Broker-dealers sum up the future of advisory services in two words: rich folks.  |
Registered Rep. March 2, 2015 Diana Britton |
Crowded Out Some level of competition between advisors and custodians has been around for years. Still, some advisors feel recent events make the distinction between business partner and market competitor less clear.  |
Financial Advisor May 2004 Raymond Fazzi |
Niche Players Provide More Choices For Advisors Many are trying hard to differentiate themselves---and are succeeding.  |
Financial Advisor August 2006 Raymond Fazzi |
Custodians Duel Over New Services Competition in the fee-based advisory field and the pressure to grow assets and operations is not only forcing changes upon advisors, but also the custodians who serve them.  |
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.  |
Investment Advisor February 2007 James J. Green |
Schwab to Bankroll Breakaway Brokers With advisor assets at $500 billion, the custodian will offer financing to big brokers going independent.  |
Financial Advisor January 2005 Raymond Fazzi |
RIAs Enjoy A Fertile Market Registered investment advisors have an opportunity as more households continue to enter the realm of the "affluent" and seek advice, but they'd better get the operational side of their practices in order.  |
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 Bernie Clark |
The Changing Affluent Investor Advisors must prepare for new affluent clients and the changes, attitudes and expectations they will bring with them.  |
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.  |
Financial Advisor March 2006 Tracey Longo |
The Three Es Here are three ways to create an Efficient, Effective & Expedient financial advisory firm.  |
Financial Advisor January 2006 Sydney LeBlanc |
Embracing The F Word US Fiduciary offers a business model that is attracting ultra-high-end advisors who want to be fiduciaries.  |
Financial Planning January 1, 2010 Stacy Schultz |
Making a Statement When Raymond James bumped up its minimums in November, it positioned itself for a new standard, but could bad timing hinder its strategy?  |
Investment Advisor December 2005 Andrew Gluck |
The Gluck Report, Part I: The Big Three's Tech Plans for 2006 New tech initiatives from the leading custodians have lots of features aimed at attracting and winning over RIAs without making them feel like they're losing their independence. We talk to the tech heads at Schwab, Fidelity, and TD Waterhouse.  |
Financial Advisor November 2012 Ben Mattlin |
Getting The Word Out Financial advisory firms are looking at innovative ways to market themselves.  |
Registered Rep. October 1, 2005 |
60 Seconds with Bill Carey (Head of Fidelity's RIA group) The former president of Fidelity's institutional retirement business and a 12-year veteran of the firm talks about his plans for the advisory unit and the challenges confronting advisors.  |
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 Advisor November 2008 Bruce W. Fraser |
Clearings Fairly Smooth Despite recent market turmoil -- spurred by the collapse of several storied financial institutions and plummeting stock values -- clearing venues for trades from financial advisors have been functioning fairly smoothly.  |
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.  |
Registered Rep. April 1, 2007 John Churchill |
Can Schwab's RIA Empire be Toppled? Last year the online-broker-turned-advice-provider extended an already massive lead over rivals Fidelity and TD Ameritrade in RIA asset gathering. Is there no challenger to Schwab's throne?  |
Financial Advisor August 2004 Sydney LeBlanc |
Independent Broker-Dealers Improving SMA Programs Historically, independent advisors have been forced to sit on the sidelines while wirehouses led the way in products and technology for separately managed accounts. Increasingly, things seem to be changing.  |