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Investment Advisor
May 2010
James J. Green |
Catching Up With... Jeff Montgomery shares his thoughts on what advisors are looking for these days from their asset managers.   |
Investment Advisor
November 2009
Bob Clark |
Clark at Large: The Times They Are a Changin' A new risk consciousness among advisors and clients may be the silver lining to the market meltdown. |
Investment Advisor
February 2010 |
Upgrades News regarding RIAs, mutual funds, and ETFs. |
Investment Advisor
June 2008 |
Changes People: Jeff Montgomery joins Al Frank Asset Management as CEO... Joby Gruber resigns FSC Securities and Advantage Capital and Larry Roth takes over his positions... Jeff Auld has resigned Berthel Fisher & Co... Gary Diffendaffer... Angela Biever... |
Investment Advisor
April 2009
James J. Green |
Editor's Note: A New Focus Now that the shock is over, it's time to get new clients. |
Registered Rep.
June 6, 2011
Diana Britton |
The New Due Diligence There's a shift towards more of a focus on operational due diligence, rather than just relying on performance and track records. |
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. |
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. |
Registered Rep.
March 31, 2015
Diana Britton |
How Advisors Are Paid The ascendancy of fee-based compensation in the independent broker/dealer space continues. |
Investment Advisor
June 2009
James J. Green |
Numerology: Fund Flows Bounce Back Independent and regional broker/dealers, along with RIAs, will account for the majority of mutual fund net sales by the year 2013. |
Investment Advisor
August 2008
James J. Green |
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady |
Investment Advisor
July 2007
Jonathan Henschen |
B/Ds in the Year 2010 What the future holds for independent broker/dealers: technology... outsourcing... marketing... practice management... succession planning... alternative investments... fees... |
Investment Advisor
July 2009
Melanie Waddell |
Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures. |
Investment Advisor
June 2009
Russ Diachok |
Coming to an RIA Near You One of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers. |
Investment Advisor
August 2010
Melanie Waddell |
Broker/Dealer Briefing News and Products Reports on FSI, Coordinated Capital Securities, American Portfolios, and more. |
Financial Advisor
February 2012 |
Cetera Buys Genworth's Tax And Accounting Unit Genworth's tax and accounting financial advisory unit, Genworth Financial Investment Services, was sold last month to Cetera Financial Group, an independent broker/dealer network serving approximately 5,000 financial advisors. |
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. |
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
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. |
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. |
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.
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.
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.
January 1, 2005 |
I'm A Broker, You're A Broker At most publicly traded national broker/dealers, about 35 percent of employees are called financial advisors. |
Registered Rep.
December 10, 2003
David A. Gaffen |
Securities Revenues Fall in Third Quarter Securities firms showed profits of $3.0 billion in the third quarter of 2003, a 45 percent decline from the second quarter, according to the Securities Industry Association. A significant drop in trading revenue was responsible for the profit hit. |
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 |
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
May 2010
James J. Green |
Editor's Note: Another Modest Proposal Investment advisors should consider getting involved with the advisory panel that will get to vet every new investment product before that product can be sold. |
Investment Advisor
September 2009
Melanie Waddell |
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away. |
Registered Rep.
June 7, 2011
Diana Britton |
Advisor Group in Talks to Acquire Smaller B/D Independent broker/dealer network Advisor Group is talking to a number of small and mid-sized broker/dealers that the company would consider purchasing. |
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. |
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. |
Registered Rep.
May 5, 2008 |
LPL Financial Heats Up The RIA World The largest independent broker/dealer in the U.S. announced today it's going to launch an RIA custodian later this year, which will serve both hybrid and fee-only investment advisors who operate independent RIAs. |
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. |
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? |
Registered Rep.
August 26, 2014
Diana Britton |
The Evolution of RCAP Nicholas Schorsch, executive chairman of RCS Capital, made his initial foray into the independent broker/dealer space with his purchase of First Allied Securities and The Legend Group, with 1,500 advisors. Since then, Schorsch has been on an acquisition tear. |
Financial Planning
January 1, 2009
Bob Veres |
The Road Ahead The publisher of InsideInformation recaps his accomplishments of the past year, and looks ahead to 2009. |
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. |
Financial Advisor
July 2010
Bernie Clark |
Gunning For Growth RIA firms estimate that they'll see 15% revenue growth this year. An emphasis on efficiency will free principals to go after new business again. |
Investment Advisor
December 2009 |
Broker/Dealer News New developments at Raymond James, LPL Financial, and Broadridge Financial Solutions. |
Investment Advisor
June 2006
Melanie Waddell |
The Playing Field: Masters at the Helm Former SEC chairman Arthur Levitt and past NASD and Nasdaq Stock Market chairman and CEO Frank Zarb have joined a consulting firm's heavy hitters. |
Registered Rep.
July 27, 2011
Diana Britton |
LPL Posts Record Revenues, Asset Levels; Adds 100 Reps LPL Financial reported record revenues in the second quarter of $894 million, a 13.1 percent gain. |
Registered Rep.
April 2, 2012
Diana Britton |
Concert Breaks Into the Hybrid Market Via LPL Partnership RIA aggregator Concert Advisor Services has launched a new hybrid platform, Concert Advisors, and partnered with independent broker/dealer LPL Financial to provide brokerage and custody services. |
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. |
Registered Rep.
August 1, 2005
Matt Barthel |
RIAs in Flux The pioneering ways of registered investment advisors (RIAs) are coming back to bite them. Once on the cutting edge of "holistic" financial planning and fee-based client relationships, RIAs are now just one of a pack of firms offering such services. |
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. |
Registered Rep.
March 31, 2015
Diana Britton |
Do You Consider Yourself a Fiduciary? A survey of broker dealers on this question. |
Registered Rep.
January 8, 2010
Halah Touryalai |
A Hedge Fund Resurgence There is legislation in Congress that would require hedge funds to make greater disclosures about the details of their operations. The increased regulation coupled with a recent uptick in hedge fund performance will likely entice some advisors to put their clients back into hedge funds. |
Investment Advisor
March 2006
Melanie Waddell |
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. |
Investment Advisor
June 2008
Kara P. Stapleton |
Power of the Platform LPL will build a custodial offering for its own -- and outside -- RIAs. |
