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Financial Advisor June 2009 Joel P. Bruckenstein |
Stepping It Up Broker-dealers are enhancing the technology they offer to 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 Advisor March 2011 Joel P. Bruckenstein |
The Commonwealth Way This independent broker-dealer has made great strides in integrating technology systems into its advisory platform.  |
Financial Advisor February 2006 Joel Bruckenstein |
Rep Tech A broker-dealer's technology can play a key role in a rep's success and satisfaction. Perhaps independent reps should regularly compare the technology that their B-D offers against what leaders in the field have to offer.  |
Investment Advisor June 2007 Lauren Barack |
Streamlining Broker/dealers are aiming for a one-click model for their technology platforms.  |
Financial Advisor February 2008 Joel Bruckenstein |
Custodians Beef It Up Since advisors' work flows are often intertwined with custodian-supplied technologies, let's take a look at what the custodial firms have in store for 2008.  |
Investment Advisor September 2006 Lauren Barack |
Going Mobile To compete, broker/dealers are improving their technology platforms, with an eye on mobility.  |
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 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 April 2010 Joel P. Bruckenstein |
Productivity Punch Trade PMR, a lesser-known custodian, is getting more attention from advisors, partly because of its standout custody platform.  |
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.  |
Registered Rep. September 24, 2015 |
The 2015 Wealth Management Industry Awards Winners Companies like Charles, Schwab, Fidelity, and Betterment are profiled for their achievements in financial services.  |
Financial Advisor June 2007 Raymond Fazzi |
Follow The Money Broker-dealers sum up the future of advisory services in two words: rich folks.  |
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.  |
Investment Advisor November 2007 Lauren Barack |
Give Them What They Want Understanding they can't offer every tool to every advisor, custodians are nevertheless making sure to remain flexible enough to meet advisors' ever changing demands.  |
Financial Planning October 1, 2010 Joel Bruckenstein |
What's Next for Technology This is a time of creativity and evolution in technology, and advisor technology is no exception. As a result, RIA firms can make changes to their infrastructure and in the process create new efficiencies while actually lowering operating costs.  |
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 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 Planning July 1, 2009 Joel P. Bruckenstein |
Introducing NetX360 It remains to be seen if Pershing can execute its plan to ensure that clients receive the maximum benefit from their new NetX360 technology. If Pershing succeeds, it could give the company a large technological lead over its competitors.  |
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.  |
Investment Advisor September 2005 Melanie Waddell |
The Playing Field: The Image is All Important Document imaging is becoming a must-have technical solution for compliance-conscious financial advisors.  |
Investment Advisor April 2006 Andrew Gluck |
Your Best Partners More and more, financial advisors are using technology tools to offer additional services and become more efficient.  |
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.  |
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 Planning March 1, 2010 Donna Mitchell |
Open Season NFP Securities says it will become the first independent broker-dealer to offer hybrid advisors a single platform with complete open architecture, empowering advisors to ally with any major custodian they choose.  |
Financial Planning June 1, 2008 Donald Jay Korn |
All Systems Go Clients and income hold steady in the financial services industry.  |
Financial Advisor December 2007 Joel P. Bruckenstein |
Fidelity's Silver Bullet If WealthCentral meets expectations, it will create significant efficiencies and cost savings for those who take full advantage of it. If Fidelity can pull it off, it will leapfrog the technology offerings of other custodians, as well as those of independent providers, by a significant margin.  |
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 May 2006 David L. Lawrence |
Integrated Advisor Platforms Software can help financial advisors with the one-stop-shop approach.  |
Registered Rep. April 1, 2008 Christina Mucciolo |
The Eclipse of Paper The process of scanning documents and storing them using document-management software has finally taken hold of the mainstream in the brokerage industry.  |
Financial Planning December 1, 2007 Joel P. Bruckenstein |
2007 Software Survey For financial planners: What you're using, what you're not -- and how the right programs can improve your efficiency.  |
Financial Planning December 1, 2010 Joel Bruckenstein |
Technology Survey 2010 With the renewed interest and investment in advisor technology, we expect to see further gains next year. It is a slow process, but as an industry we are becoming more technologically proficient.  |
Registered Rep. March 31, 2015 Diana Britton |
Do You Consider Yourself a Fiduciary? A survey of broker dealers on this question.  |
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 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 July 2004 Tracey Longo |
Clearing Firms Come Courting With clearing industry players so clearly targeting advisors, competition for advisor business is likely to get even more interesting very soon.  |
Financial Advisor May 2012 David Lawrence |
Missed Opportunity Most advisors under utilize the technology offered by their broker-dealer or custodian. Why?  |
Financial Planning December 1, 2009 Joel Bruckenstein |
2009 Software and Technology Survey Welcome to Financial Planning's third annual technology survey, which takes a look at technology trends in financial advisory firms.  |
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.  |
Investment Advisor October 2007 Neal Ringquist |
Tech Tools There are a number of reoccurring concerns that rank high among the challenges that today's financial services institutions and advisory firms are looking to address. A software company president discusses how to solve those niggling problems stunting your growth.  |
Financial Planning December 1, 2011 Joel Bruckenstein |
Tech Survey From iPads to Androids to cloud providers, technology evolves oh-so-fast, and FP's annual tech survey reveals that advisor technology usage is changing rapidly too.  |
Financial Planning January 1, 2007 Joel Bruckenstein |
CRM Tools Go Virtual Financial advisors are realizing that web-based programs can be less expensive, less tedious and more flexible. Although online CRM is still developing, industrywide the level of sophistication and usability is improving.  |
Financial Advisor November 2005 Joel Bruckenstein |
Behind The Scenes At Intuit's PortfolioMinder This new portfolio management and reporting platform is capable yet inexpensive.  |
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 Advisor August 2005 Tracey Longo |
Independents Believe Bigger Is Better--And Cheaper Faced with higher costs, broker-dealers are targeting larger advisors.  |
Financial Advisor September 2009 Andrew Gluck |
Trimming The Sails Schwab Institutional and Albridge up the ante and upgrade their platforms to boost advisor efficiency.  |
Financial Advisor September 2010 Joel P. Bruckenstein |
Key Role Custodians are upping their technology offerings to RIAs.  |
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 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.  |