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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 June 1, 2008 Donald Jay Korn |
All Systems Go Clients and income hold steady in the financial services industry.  |
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. August 13, 2008 Halah Touryalai |
Ameriprise Buys H&R Block Reps Ameriprise Financial is 900 advisors stronger after it purchased H&R Block Financial Advisors for $315 million in cash.  |
Financial Advisor January 2012 Bruce W. Fraser |
Full Steam Ahead What could have been a sad chapter for Securities America now seems to be a new lease on life for 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 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 Advisor September 2009 |
Frontline News News for the financial services industry: Regulations, Fiduciaries And Other Things... Breakaway Broker Trend Slowing?... Barney Frank Won't Push SRO For Advisors... CFP Board's Proposed New Education Standard... M&A Activity Down, But Not Out... more...  |
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 November 2009 |
Frontline News Advisor News: Poll on advisor pay... Citi Embracing Fee-Only Model... RIAs Set Record For Repurchasing Their Firms... FINRA Expands Arbitration Pilot Program... SEC Expects To Examine 9% Of RIAs Annually... more...  |
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 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 Advisor November 2010 Bruce W. Fraser |
Out Of Retrenchment Independent broker-dealers see good recruiting opportunities in 2011.  |
Financial Advisor May 2012 |
Satisfaction A job satisfaction study by J.D. Power found that financial advisors' happiness with their work is most dependent on their firm's performance.  |
On Wall Street June 1, 2011 |
The Leaders Speak The most influential leaders in wealth management today expound on evolution, revolution, moving the debate past wirehouse versus independent, and more.  |
Investment Advisor September 2008 Melanie Waddell |
Whither the Independent B/D? Securities America's acquisition of Brecek & Young is yet another sign of dwindling independent broker/dealers.  |
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 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 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.  |
On Wall Street March 1, 2010 Helen Kearney |
Compensation 2010 Your definitive guide to the changes in advisor compensation across the industry.  |
Registered Rep. December 1, 2011 Kristen French |
Broker Report Card 2011: It's Getting Better All the Time Registered Rep.'s 21st annual Broker Report Cards showed advisor satisfaction ratings creeping higher this year across the board -- on everything from compensation and benefits, compliance support and sales support to products.  |
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 Planning August 1, 2011 Donna Mitchell |
Ready to Commit Omaha, Neb.-based Securities America is one of Ameriprise's five broker-dealer subsidiaries. That Ameriprise, based in Minneapolis, announced its intention in March to sell the independent broker-dealer without a buyer lined up is also unusual.  |
Financial Advisor December 2010 |
Frontline News RIAs Transferred To States May Get Dual Exams... Piqued By Peak Oil... The Art Of The Referral... etc.  |
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 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 |
Frontline News News of interest to advisors: Clients want insured investments... Francais succeeds Kochis as Aspiriant CEO... Financial Planning Association's Top Lobbyist Stepping Down... New Web sites keep advisors honest... more...  |
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 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 March 2008 Joel Bruckenstein |
Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers.  |
Financial Advisor March 2007 |
Frontline News New Firm To Invest In Advisory Businesses... Morningstar Launches SMAs... Americans Tops In Retirement Saving... Focus Unveils Major Acquisitions... National Financial Had Record-Setting Year... etc.  |
Financial Advisor May 2004 Raymond Fazzi |
Niche Players Provide More Choices For Advisors Many are trying hard to differentiate themselves---and are succeeding.  |
Financial Planning June 1, 2008 Philip Palaveev |
Be Careful What You Wish For Understanding the advisor and independent broker-dealer relationship.  |
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 June 2007 Raymond Fazzi |
Follow The Money Broker-dealers sum up the future of advisory services in two words: rich folks.  |
Registered Rep. March 1, 2008 Christina Mucciolo |
What Can We Do For You? Clearing firms matter to advisors. In fact, one of the biggest deals in the independent b/d business last year hinged on whether the b/ds being sold could maintain their relationships with their old clearing firm.  |
Financial Advisor October 2008 |
Frontline News News: Wall Street Meltdown Could Swell RIA Ranks... Citigroup Defection Illustrates Talent Flight To RIAs... Merger Creates $1 Billion Fee-Only RIA Firm... Boosting Retirement Savings Longevity... Is The Commodities Party Over?... Hometown Investing Can Spoil A Portfolio...  |
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 Advisor February 2008 |
Frontline News News of interest to the financial advisory industry: Fiduciary Network Buys Stake In Brouwer, Janachowski... Morningstar Names Top Fund Managers... Advisors Gather At Tech Show... State Of The Industry... etc.  |
Registered Rep. April 1, 2005 Namita Devidayal |
True to Form H&R Block's ubiquity in tax-preparation has pigeon-holed the firm and hampered its efforts to become a serious player in the financial advisory business.  |
Registered Rep. September 14, 2005 John Churchill |
H&R Block On a Recruiting Spree The firm known primarily for its tax preparation services is ramping up its financial advisory force.  |
Investment Advisor June 2009 James J. Green |
Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive  |
Financial Advisor December 2006 Evan Simonoff |
Challenging Conventional Wisdom The independent advisory market is changing, perhaps in some surprising ways.  |
Financial Advisor April 2010 Jeff Schlegel |
An Alternative World A growing number of financial advisors and their clients are clamoring for alternative investments in the wake of the massive market maelstrom of '08-'09, but it's a broad space requiring lots of due diligence.  |
Investment Advisor May 2010 |
Thirty for Thirty Our list of the 30 most influential individuals in and around the planning profession over the last three decades.  |
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 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 2011 |
Frontline News Advisors Using Fewer Asset Managers... The New CFPs... Avoid The Analyst Herd... etc.  |
Financial Advisor January 2009 Eric Rasmussen |
Revenge Of The Wirehouses Large Wall Street firms dangle big incentives to hang onto advisors.  |
Financial Advisor June 2010 Jeff Schlegel |
Who's Your Market? Some broker-dealers have niches that set them apart.  |