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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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Planning
October 1, 2010
James E. Warren Jr.
Beyond the Payout Eight critical points that every financial advisor contemplating a change of affiliation should consider. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
November 2010
David Lawrence
Back In The Fold? Will the new regulations force independents to return to broker-dealers? mark for My Articles similar articles
Financial Planning
February 1, 2010
Marion Asnes
One Fee to Bind Them In 2009, broker-dealer Capital Analysts introduced a new flat-fee business model. So how's it going? mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Planning
June 1, 2010
Paul Menchaca
Survivor Island Firms that endured the worst of the financial crisis and lived to tell about it. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
March 2012
David Lawrence
Consolidation Quickens Advisors are increasingly turning to others to increase service and decrease costs. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
May 23, 2011
Jodie Papike
Ninety-five Percent Payout? I Don't Think So The headline payout numbers offered by firms can often be quite misleading so it's not a bad idea to take a second look. There are typically a host of costs that cut into an advisor's net take-home pay, and these can add up. mark for My Articles similar articles
Financial Advisor
October 2005
Chris Radford
Practice Management: What The Survey Doesn't Say Because there are no surefire business plans for success, it takes a unique combination for each financial advisor to find the "x-factor" -- that intangible number in every business opportunity that equals ultimate success. mark for My Articles similar articles
Registered Rep.
April 9, 2012
Philip Palaveev
Advisors at Acquired Firms Must Decide: Stay, or Go? Here's Some Tips Staying or going is a critical decision for your practice and given the gravity and consequences of that decision every advisor should take control of the situation. Whether you are staying or going, you should do that on your own terms and not let indecision be the final arbiter. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Planning
June 1, 2008
Donald Jay Korn
All Systems Go Clients and income hold steady in the financial services industry. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Planning
August 1, 2008
Stacy Schultz
B-D of the Future The Broker-Dealer of the Future, Pershing's first study on the industry, identifies factors facing broker-dealers new competitive landscape. mark for My Articles similar articles
Registered Rep.
December 7, 2011
Philip Palaveev
The Say on Pay: Registered Rep.'s 2011 Compensation Survey Financial advisors continue to expand their practices, work with more clients and receive ample compensation for their efforts. mark for My Articles similar articles
Investment Advisor
June 2008
Philip Palaveev
The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive. mark for My Articles similar articles
Registered Rep.
March 23, 2011
Philip Palaveev
How To Handle An Imploding Broker/Dealer As we watch one independent broker/dealer after another succumb to regulatory action, financial problems or consolidation, many advisors are questioning the security of their very livelihoods. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
August 2010
Raymond Fazzi
Looking To Streamline Now that they've experienced the harsh consequences of poor business management, fee-based advisors are looking to their custodians and broker-dealers for all the help they can get. mark for My Articles similar articles
Registered Rep.
March 8, 2011
Diana Britton
IBDs Dress Up Offerings For Hybrids Independent broker-dealers have lately been ramping up their efforts to attract hybrid advisors. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
April 2009
David Lawrence
Migratory Patterns Advisors who want to move to the independent world should spend a lot of time planning the transition. mark for My Articles similar articles
Investment Advisor
September 2008
Bob Clark
Who's Your Daddy? Philip Palaveev's new gig as president of Fusion Advisor Network foreshadows the future of independent advice. mark for My Articles similar articles
On Wall Street
March 1, 2010
Helen Kearney
Compensation 2010 Your definitive guide to the changes in advisor compensation across the industry. mark for My Articles similar articles
Financial Advisor
July 2007
Tracey Longo
The Big Picture Clearing firms stake their future on helping financial advisors' businesses grow. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
November 2010
Bruce W. Fraser
Out Of Retrenchment Independent broker-dealers see good recruiting opportunities in 2011. mark for My Articles similar articles
Financial Planning
August 1, 2007
Ray Sclafani
Get Some Support An increasing number of B-Ds are recognizing the importance of coaching and training for advisors -- especially their top producers. mark for My Articles similar articles
Financial Advisor
June 2007
Sherri Scordo
Indepedent Broker-Dealers/Financial Advisor's 2007 Snapshot of Leading Firms Advantage Capital Corporation... AIG Financial Advisors... American General Securities, Inc... etc. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
June 2010
Jeff Schlegel
Who's Your Market? Some broker-dealers have niches that set them apart. mark for My Articles similar articles
Investment Advisor
June 2006
Kathleen M. McBride
Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways. mark for My Articles similar articles
Investment Advisor
August 2005
Mark Tibergien
Formulas for Success: Independence Day There is a growing trend toward registered reps moving out of the wirehouse environment -- a trend invisible to most, but obvious to the country's leading custodians: they are actively wooing breakaway brokers. mark for My Articles similar articles
Financial Planning
September 1, 2008
Callahan & Malo
Hybrid Chic A trend toward hybrids in the financial services industry is emerging. Increasingly, firms, advisors and brokers are establishing practices that manage both commission -- and fee-based businesses. mark for My Articles similar articles
Financial Advisor
August 2005
Tracey Longo
Independents Believe Bigger Is Better--And Cheaper Faced with higher costs, broker-dealers are targeting larger advisors. mark for My Articles similar articles