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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.  |
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 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.  |
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 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.  |
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.  |
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 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 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?  |
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 July 2010 James J. Green |
LPL Financial's IPO: The Competitive Equation How the broker/dealer universe will change with LPL's plans  |
Investment Advisor November 2007 Kathleen M. McBride |
Migration Time Is repapering accounts for 202(a) the last straw for wirehouse reps?  |
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.  |
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.  |
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. 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.  |
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 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.  |
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 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.  |
Investment Advisor September 2009 Melanie Waddell |
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away.  |
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.  |
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 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.  |
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.  |
Investment Advisor June 2008 McBride & Roberts |
The Presidents Speak Recruiting and building margins are top challenges for independent broker/dealers today.  |
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. 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  |
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.  |
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 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  |
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.  |
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.  |
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.  |
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.  |
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.  |
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. March 31, 2015 Diana Britton |
How Advisors Are Paid The ascendancy of fee-based compensation in the independent broker/dealer space continues.  |
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.  |
Investment Advisor November 2006 Thomas D. Giachetti |
Defining Fiduciary What is a financial advisor's true fiduciary duty?  |
Investment Advisor July 2009 Melanie Waddell |
Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures.  |
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.  |
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.  |
Investment Advisor June 2007 Lauren Barack |
Streamlining Broker/dealers are aiming for a one-click model for their technology platforms.  |
Investment Advisor January 2008 Kathleen M. McBride |
Clearly Profitable It's an evolution revolution at the big clearing firms.  |
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.  |
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.  |
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.  |
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 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.  |