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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 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 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.  |
On Wall Street November 1, 2010 Gallant & Schneider |
Navigating The Retirement Business The demand for retirement income support will continue to grow rapidly in the coming years as the aging of the baby boom generation is inevitable.  |
Financial Planning June 1, 2008 Donald Jay Korn |
All Systems Go Clients and income hold steady in the financial services industry.  |
Financial Advisor June 2007 Sherri Scordo |
Financial Advisor's 2007 Broker-Dealer Guide Top independent broker-dealers ranked by gross revenue: LPL... AIG Advisors Group... ING Advisors Network... etc.  |
Financial Advisor July 2005 Raymond Fazzi |
Defining Wealth Management The term "wealth manager" has provided more sizzle than clarity in recent years, as more and more advisors have adopted the name as they transition to more comprehensive practices geared toward affluent clients.  |
Financial Advisor March 2008 Joel Bruckenstein |
Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers.  |
Investment Advisor May 2006 Kathleen M. McBride |
B/D Briefing: Pick Three In a recent reader survey, when asked where reps would go if they were to consider moving to another B/D, three firms were consistently mentioned: Commonwealth Financial Network, LPL Financial Services and Raymond James Financial Services. Here's why.  |
Financial Advisor June 2010 Jeff Schlegel |
Who's Your Market? Some broker-dealers have niches that set them apart.  |
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. February 13, 2012 Jerry Gleeson |
Raymond James Ramping Up Its RIA with New Leadership, Investment The new president, Bill Van Law, said the company plans to make a significant investment in the business in the months ahead.  |
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 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 March 1, 2007 Elizabeth O'Brien |
Clearly, Competition LPL's clearing deal with AXA Advisors prompts questions about recruitment among 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 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.  |
Registered Rep. August 10, 2011 Diana Britton |
LPL Conference Opens with New Initiatives, Support for Advisors LPL Financial kicked off its annual conference in Chicago on Monday by ringing the opening bell of the NASDAQ stock exchange and announcing some new initiatives aimed at supporting advisors.  |
Financial Advisor October 2012 Joel P. Bruckenstein |
A Different Kind Of Leverage Independent broker-dealers are using technology to help their advisors prosper.  |
Financial Planning November 1, 2009 Paul Menchaca |
LPL: "We've Arrived" Twenty years after the San Diego-based company was formed through the merger of Linsco and Private Ledger, LPL appears to have lapped its rivals, leaving nothing in its rearview mirror.  |
Financial Planning November 1, 2009 John J. Bowen Jr. |
Getting the Right Help Financial services firms aren't doing enough to support the transition to wealth management.  |
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.  |
Registered Rep. February 7, 2012 Diana Britton |
LPL Posts Record Revenue For Year, Despite Volatility While other firms suffered in the fourth quarter on slow client activity, LPL Financial announced earnings today of $39.4 million for the quarter, up $156 million from a net loss of $116.6 million in the fourth quarter 2010.  |
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 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.  |
Registered Rep. September 30, 2014 David Armstrong |
Editor's Letter: October 2014 The wealth inequality gap is not between rich and poor, it's between the high-net-worth households and everyone else, including the middle class, who have not seen a significant increase in their middling net worth in over a decade.  |
On Wall Street September 1, 2008 Donna Mitchell |
Which Firms Leave Clients Most Satisfied? It's easy to call clients in good markets, but more important to call them when times are bad.  |
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 Planning June 1, 2012 Ackermann et al. |
Hot Topics Ultrawealthy increase allocation to aternative investments... Independent broker-dealers struggling to survive... LPL nabs $560M team...  |
Financial Planning October 1, 2009 John J. Bowen Jr. |
Success on Purpose The right practice framework is essential to reaching success in the financial advisory industry, and the most important aspects of this framework fit into seven categories.  |
Financial Advisor January 2009 Rebecca Pomering |
Turning Turbulence Into Growth Turmoil is creating big opportunities.  |
Investment Advisor April 2009 Lewis Schiff |
Danger & Opportunity: Seling Wisdom Advisors with a wealth-management practice orientation can provide the kind of services affluent families need during difficult market times.  |
Financial Advisor July 2006 Dorothy Hinchcliff |
Climbing A Stairway To Heaven As boomers age and spend their savings, financial advisors will need to adapt their practices.  |
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, 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.  |
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 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. May 25, 2005 John Churchill |
Millions to Choose From Advisors gunning for millionaire clients now have more prospects to choose from -- and a blueprint for what they're looking for -- according to a new survey which says that 1.3 million new American households became millionaires in 2004.  |
Registered Rep. July 22, 2010 Christina Mucciolo |
Raymond James Financial and Wells Fargo Retail Brokerage Units Hang In There A report on earnings from two major financial firms.  |
Financial Advisor October 2005 Grove & Prince |
Understanding The Middle-Class Millionaire Middle-class millionaires are the "ideal clients" for most financial advisors. They are wealthy enough to require the services of high-quality financial advisors, yet not so wealthy that most financial advisors end up in over their heads.  |
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.  |
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 June 2012 |
Forward Progress Five experts discuss the state of the advisory business.  |
Financial Advisor August 2005 Tracey Longo |
Independents Believe Bigger Is Better--And Cheaper Faced with higher costs, broker-dealers are targeting larger advisors.  |
Registered Rep. September 1, 2005 David A. Geracioti |
You Say, They Say In an industry survey that covered a range of issues, from estate planning to choice of investment products, the responses by wealthy clients and advisors showed a striking disconnect about the needs of high-net-worth individuals.  |
Financial Advisor April 2007 William Glasgall |
Why Marketing Works Over the years, many advisors, being analytical people at heart, have relegated marketing to a minor role behind crunching numbers for clients' financial plans and investment portfolios. Now, that attitude seems to be undergoing a long-needed change.  |
Financial Advisor August 2006 Hannah Shaw Grove |
Life Insurance And Wealth Management Helping client with life insurance is an important service of effective wealth managers.  |
Bank Technology News September 2002 Elizabeth Logue |
Wealth management: Advisors Finally Waking Up to the Internet's Useful Influence Bucking the market once again, Charles Schwab is doing the unthinkable: encouraging financial advisors to use the Internet to service affluent customers.  |
Financial Advisor April 2007 Tracey Longo |
Getting A Share Of Trust Assets Trust assets are up for grabs and often are there for the asking, provided financial advisors know the right questions to ask.  |