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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
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... mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
June 2009
Elizabeth D. Festa
B/D Briefing: Keys to B/D Success A new study reveals that a broker/dealer's growth can be stunted, the investor experience harmed, and the firm's brand jeopardized by the lack of an efficient operational platform. mark for My Articles similar articles
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. mark for My Articles similar articles
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. 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
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? mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
July 2010
James J. Green
LPL Financial's IPO: The Competitive Equation How the broker/dealer universe will change with LPL's plans mark for My Articles similar articles
Investment Advisor
November 2007
Kathleen M. McBride
Migration Time Is repapering accounts for 202(a) the last straw for wirehouse reps? mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
April 16, 2014
Mindy Diamond
Outgrowing the IBD For advisors who are managing more than $500 million in client assets and are looking to build an enterprise, the independent broker/dealer model may have become too limiting for them. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
December 2007
Angela Herbers
Bottom Up Broker/dealer recruiting is largely a zero sum game. Here is why it more advantageous for B/Ds to help their existing advisors. mark for My Articles similar articles
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 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
Investment Advisor
September 2009
Melanie Waddell
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away. mark for My Articles similar articles
Investment Advisor
September 2008
Melanie Waddell
Striking While the Iron Is Hot Under the direction of Ron Fiske, Fidelity's HybridOne platform aims to serve the booming dually registered market. mark for My Articles similar articles
Investment Advisor
June 2009
Russ Diachok
Survival of the Fittest An assessment of who will succeed -- and fail -- among the independent B/D ranks. mark for My Articles similar articles
Investment Advisor
June 2008
Jonathan Henschen
Transfer Time For advisors pondering a move from a wirehouse to an independent broker/dealer with visions of large, forgivable transition loans dancing in their heads, it's time for a reality check. mark for My Articles similar articles
Investment Advisor
April 2010
James J. Green
Broker/Dealer Briefing: Cetera Ready to Grow Former Ing Broker/Dealers Are Committed to the new Cetera Financial Hybrid Model. mark for My Articles similar articles
Investment Advisor
June 2008
McBride & Roberts
The Presidents Speak Recruiting and building margins are top challenges for independent broker/dealers today. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
May 2, 2011
Diana Britton
Top LPL Advisor Leaves to Start His Own B/D, Eyes Acquisitions Registered Rep.'s top-rated 2010 independent broker/dealer advisor Ron Carson has announced plans to leave LPL Financial mark for My Articles similar articles
Investment Advisor
September 2005
Fantastic 5 This year's winning broker/dealers of the year reveal some of the machinery behind the success: Division I -- Geneos Wealth Management... Division II -- Brecek & Young Advisors... etc. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
September 2007
James J. Green
Leading the Way The leaders of the 2007 Broker/Dealers of the Year reflect their reps: optimistic, opinionated professionals whose business savvy is growing in a challenging environment mark for My Articles similar articles
Investment Advisor
September 2008
Philip Palaveev
The Case for Commissions Commission product uses fall into six primary categories. Read on to see what they are. mark for My Articles similar articles
Registered Rep.
February 4, 2013
Diana Britton
Faking It: Our Third-Annual IBD Report Card Survey The economics of the IBD business haven't changed; independent b/ds are up against it. They're faced with rising regulatory costs and a greater demand for technology investment to stay competitive. mark for My Articles similar articles
Investment Advisor
March 2009
Kara P. Stapleton
Succession & Valuation A Financial Services Institute OneVoice Broker/Dealer session dealt with internal succession, discussing the steps that advisors and independent broker/dealers need to take when developing a succession plan. mark for My Articles similar articles
Investment Advisor
May 2006
Murphy & Green
Breaking Away As the number of breakaway brokers continues to rise, broker/dealers and custodians have implemented programs designed to make the broker's transition to independence as seamless as possible. mark for My Articles similar articles
Registered Rep.
February 8, 2011
Jerry Gleeson
LPL's Casady Sees Better Advisor Growth In `11 Though the firm managed to rack up strong revenue and profit growth last quarter and in fiscal 2010, it did not meet the annual recruiting target of 400 net new advisors that Casady had set. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
March 31, 2015
Diana Britton
How Advisors Are Paid The ascendancy of fee-based compensation in the independent broker/dealer space continues. mark for My Articles similar articles
Investment Advisor
May 2007
The Original SEC Rule The Security and Exchange Commission's original decision on the broker/dealer exemption rule exempting brokers from regulation as an investment advisor even when they were being paid fees for investment advice. mark for My Articles similar articles
Investment Advisor
November 2006
Thomas D. Giachetti
Defining Fiduciary What is a financial advisor's true fiduciary duty? mark for My Articles similar articles
Investment Advisor
July 2009
Melanie Waddell
Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures. mark for My Articles similar articles
Registered Rep.
July 1, 2013
Phillip Flakes
Selling Point Many advisors are coming up on their golden years, but as hard as it is to make the decision to move on, it's even harder to actually sell. Here's a game plan. mark for My Articles similar articles
Investment Advisor
June 2009
Robert F. Keane
Directional Advisor Bob Whalen moved to Brewer Financial Services because of the depth of product and open architecture. He expects a lot of other reps to follow suit. mark for My Articles similar articles
Investment Advisor
June 2007
Lauren Barack
Streamlining Broker/dealers are aiming for a one-click model for their technology platforms. mark for My Articles similar articles
Investment Advisor
January 2008
Kathleen M. McBride
Clearly Profitable It's an evolution revolution at the big clearing firms. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
January 2006
Jonathan Henschen
How to: Producer Group A producer group can extend the reach -- and profitability -- of a financial advisor's practice. However, not all producer groups are created equal. mark for My Articles similar articles
Investment Advisor
August 2009
James J. Green
Editor's Note: Change Partners Some thoughts from the editor of this publication on the current state of the financial advisory business. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
March 2009
James J. Green
The FSI's Priorities Now While the members of the Financial Services Institute compete fiercely with each other in many areas -- within FSI they have subsumed their differences in favor of promoting the common agenda of broker/dealers. mark for My Articles similar articles