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Investment Advisor September 2007 Kathleen M. McBride |
A Trend Confirmed? Advisory fees overtake commission revenue at Commonwealth. So what does this mean for the independent broker/dealer industry? Will other firms soon reach the point at which fee revenue dominates?  |
Financial Planning September 1, 2013 Rachel F. Elson |
Commonwealth Financial's Big Fee-Based Bet Commonwealth Financial Network already stands out for its revenue mix. Now it has a new model for RIAs.  |
Investment Advisor March 2009 Kara P. Stapleton |
March B/D Briefs: News & Products The latest from the broker/dealer world: Commonwealth Financial Network announces Wayne Bloom will succeed Chairman Joseph Deitch as CEO... Tom Wirtshafter named president of American Portfolios Financial Services and American Portfolios Advisors Inc. ... etc.  |
Investment Advisor September 2010 John Sullivan |
Broker/Dealer Briefing: Commonwealth Takes the Top Spot In our B/D survey history, the Waltham, Mass.-based firm has the most top spots. Why?  |
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 October 2004 Eva Marer |
Uncommon Wealth Private brokerage firm Commonwealth Financial Network has grown at a blazing rate in the last decade.  |
Investment Advisor January 2006 Kathleen M. McBride |
Balancing Act The broker/dealer model is changing, spurred by business and regulatory pressures, and reps may stop talking to their clients.  |
Financial Planning September 30, 2013 Ilana Polyak |
Practice Management: Joni Youngwirth To be a standout advisory firm, it's no longer enough to draw up stellar client financial plans or design winning asset allocation strategies. If a business is to thrive, it must also be at the top of its game in operations, marketing, recruiting and risk management.  |
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.  |
Investment Advisor March 2009 James J. Green |
The Commonwealth Case Study At the Commonwealth Financial Network Chairman's Retreat, the annual gathering of the broker/dealer's top producers, the vibe is collegial in more ways than one, with blunt talk accompanied by an easy camaraderie.  |
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  |
Investment Advisor August 2010 Melanie Waddell |
Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas.  |
Investment Advisor September 2010 Green & Sullivan |
Optimists: The 20th Annual Broker/Dealers of the Year Any broker/dealer that isn't getting into continuity planning better hurry up or they'll be out of business.  |
Registered Rep. March 31, 2015 Megan Leonhardt |
The Increasingly Happy Broker Generally speaking, the smaller the firm, the happier the broker, according to our fifth Independent Broker/Dealer Report Card survey.  |
Investment Advisor June 2007 Lauren Barack |
Streamlining Broker/dealers are aiming for a one-click model for their technology platforms.  |
Registered Rep. August 29, 2014 Diana Britton |
One Strike, You're Out When it comes to the world of independent broker/dealers, the Financial Industry Regulatory Authority is cracking down. Its stated 2014 priority is to focus its regulatory firepower on "high-risk" brokers.  |
Investment Advisor June 2008 McBride & Roberts |
The Presidents Speak Recruiting and building margins are top challenges for independent broker/dealers today.  |
Investment Advisor September 2008 James J. Green |
You're the Tops In a comprehensive face-to-face discussion, the leaders of the Broker/Dealers of the Year explain their firms' unique charisma and how they plan to remain at the summit of their professions.  |
Investment Advisor March 2009 James J. Green |
Editor's Note: For Your Consideration RIAs and broker/dealers are more alike than they are different, and it's always better to merge from strength than weakness.  |
Investment Advisor June 2009 Russ Diachok |
Survival of the Fittest An assessment of who will succeed -- and fail -- among the independent B/D ranks.  |
Investment Advisor May 2008 Melanie Waddell |
Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.  |
Investment Advisor September 2008 Philip Palaveev |
B/D or RIA? How to Decide for Yourself To help make the decision between the registered independent advisor and broker/dealer approach, first ask yourself where you belong.  |
Registered Rep. August 1, 2005 |
Maybe It Was the TeePee Building Exercise Commonwealth Financial Network was recently named the best place to work in the state of Massachusetts by the Boston Business Journal.  |
Investment Advisor September 2008 Eric Schwartz |
B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future.  |
Registered Rep. December 16, 2009 Halah Touryalai |
Wirehouse Switching Slows in Second Half of 2009 In November, just 177 advisors in the wirehouse channel switched firms, the smallest monthly number all year, according to Discovery Database.  |
Financial Advisor August 2005 Tracey Longo |
Independents Believe Bigger Is Better--And Cheaper Faced with higher costs, broker-dealers are targeting larger advisors.  |
Investment Advisor September 2007 Kathleen M. McBride |
Around the Table The leaders of the 2007 Broker/Dealers of the Year speak frankly about their challenges and opportunities.  |
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.  |
Investment Advisor September 2009 James J. Green |
How the Representatives Voted The year 2009 marked the 19th time that Investment Advisor asked its readers who are representatives of independent broker/dealers to rank their own B/Ds on 14 discrete categories, along with an overall rating.  |
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.  |
Registered Rep. June 1, 2012 Diana Britton |
Breaking Out: A New Era in Insurance Insurance firms constantly go through cycles of acquisition and sale when it comes to their broker/dealer subsidiaries. But the current sell cycle is different, and it may shake up how the business works.  |
Registered Rep. June 27, 2011 Diana Britton |
The Good, the Bad and the Ugly It seems like every week, another independent broker/dealer goes under or up for sale because of a bad private placement or other problematic alternative investments. All that turmoil has left a pool of advisors out in the cold, looking for new firms to call home.  |
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 June 2006 Tracey Longo |
Is Any Stone Unturned? Is the NASD's regulatory clampdown over? Major changes are in place at the sales force level.  |
Registered Rep. February 7, 2012 Diana Britton |
Are Regulations Killing the Hybrid Financial Advisor? Some advisors say new compliance and regulatory burdens under Dodd-Frank are making the hybrid model untenable.  |
Registered Rep. June 2, 2011 Diana Britton |
America's Top Independent Brokerages The Merrills and Morgan Stanleys of the world say it was never an exodus, the migration is over, and it was only those advisors who couldn't make it in the cutthroat wirehouse world who crossed over to the independent side of the business.  |
Registered Rep. January 6, 2010 Halah Touryalai |
Wirehouse FAs Switching B/Ds Slows The number of wirehouse advisors switching broker/dealers has been in steep decline since June.  |
Registered Rep. July 23, 2012 Diana Britton |
Virgin Banks Few community banks and credit unions offer wealth management services to their customers. But many of these firms are struggling and looking for new sources of income. Broker/dealers are finally tapping these untouched firms with revenue-sharing partnerships.  |
Registered Rep. July 22, 2013 Mindy Diamond |
The Long Road Home Wirehouse firms are recruiting more independent advisors to their ranks than ever before.  |
Investment Advisor March 2006 Melanie Waddell |
The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.  |
Investment Advisor September 2009 James J. Green |
Where Representatives Would Go This year, more than many others, many representatives of broker/dealers are reassessing their options when it comes to with whom, and how, they will affiliate.  |
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.  |
Registered Rep. March 2, 2015 Megan Leonhardt |
Rep as Portfolio Manager Wirehouse and national firms are the most likely to offer advisor-directed platforms, followed by the bank and independent broker/dealer channels.  |
Registered Rep. December 2, 2014 |
Best of the Best 2014 Unlike many of our competitors, we are as transparent as possible about our criteria and methodology when publishing a ranking.  |
Investment Advisor July 2009 Jonathan Henschen |
Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way.  |
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. November 5, 2012 Diana Britton |
Defying the Odds It's orthodoxy that small IBDs won't be able to stay in business given the unprecedented increase in regulatory and technology costs. Yet some tiny firms are bucking the trend. Here's how they're doing it.  |
Investment Advisor September 2006 Lauren Barack |
Going Mobile To compete, broker/dealers are improving their technology platforms, with an eye on mobility.  |
Financial Planning November 1, 2011 David E. Adler |
The ABCs of Planner Titles Do you know your REBC from your CEBS, your CIMA from your CMA, and your PFS from your RFC?  |
Investment Advisor June 2008 Kathleen M. McBride |
Independents' Optimism Broker/dealer advisory board members say things are looking up in the industry.  |