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Investment Advisor November 2009 James J. Green |
Editor's Note: At Least One Booming Market One sector of the economy appears to be booming and that's the survey industry.  |
Investment Advisor March 2010 |
More Advisors Embrace Alternatives Advisors are increasingly turning to alternative investments, not as a source of outsized returns, but rather to provide true diversification to clients' portfolios.  |
Registered Rep. December 7, 2011 Philip Palaveev |
The Say on Pay: Registered Rep.'s 2011 Compensation Survey Financial advisors continue to expand their practices, work with more clients and receive ample compensation for their efforts.  |
Investment Advisor January 2006 Maya Ivanova |
Listen Up Financial advisory firms are demonstrating their ability to weather the tough times of the last few years. But to continue their profitability in the future, they need to make client service a priority.  |
Financial Planning May 1, 2008 Stacy Schultz |
Need for Education A preview of the 2008 Rydex AdvisorBenchmarking Study, a snapshot of the financial advisory business.  |
Registered Rep. July 7, 2010 David A. Geracioti |
Compensation 2010. Crisis? What Crisis? 2009 income for RIAs -- while lower than 2008, in some cases by a lot -- rebounded fairly nicely, bringing earnings back to 2007 levels.  |
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.  |
Financial Planning June 1, 2008 Elizabeth O'Brien |
Millionaires Ahoy! Independent advisors who are looking to snag more millionaire clients should focus their efforts on prospects who do not already have a registered investment advisor, according to a new study by Fidelity Investments.  |
Registered Rep. August 25, 2010 Halah Touryalai |
Better Economic Times Ahead? Your Clients Don't Think So. Advisors seem more optimistic about the economy than their own clients, according to a recent survey.  |
Registered Rep. March 1, 2006 David A. Geracioti |
To Increase Revenue Increase Time Spent With Clients Clients are happier when financial advisors pay close attention to them, and new research suggests that this can manifest itself in more business.  |
Investment Advisor August 2009 James J. Green |
Millionaires Say 2008 Not So Bad Fidelity's third annual Millionaire Outlook study shows that the high-net-worth feel pretty good about their advisors.  |
Investment Advisor November 2007 M. Ivanova & L. Klash |
Small Is Beautiful One-size practice management doesn't fit all, as the most profitable firms know well. Many smaller firms can, and do, enjoy a great deal of success without reaching the lofty AUM goals that have become the industry standard.  |
Registered Rep. May 27, 2015 Megan Leonhardt |
Compensation Survey 2015: Breaking Down the Practice Are the firms that serve advisors ready to support a team-based, ensemble model?  |
Registered Rep. June 2, 2015 Megan Leonhardt |
Compensation Survey 2015: The Slowly Disappearing Commission Moving from a commission-based business to one based on fees, advocates argue, removes conflicts and puts advisors on the same side of the table as their clients.  |
Investment Advisor February 2009 Kara P. Stapleton |
Stressed Out? It's no news that advisors are overwhelmed, considering the behavior of the markets and the state of the economy.  |
Investment Advisor November 2009 James J. Green |
Numerology: Fewer Assets, More Advisors Total assets managed by investment advisors shrank in 2008 but the number of SEC-registered investment advisors increased.  |
Investment Advisor October 2008 Maya Ivanova |
War Room How the most successful advisory firms are mitigating risk on two fronts: for their clients, and for their own businesses.  |
Financial Advisor August 2009 Jeff Schlegel |
Still Optimistic Most advisors are satisfied with their growth, but intense workloads and lousy markets have caused dissatisfaction to rise.  |
Registered Rep. April 7, 2011 Kristen French |
Switching To Independent Model Keeps Up Pace Migration to the independent financial advisor model -- independent b/ds and RIAs -- is likely to continue unabated in 2011.  |
Financial Planning April 1, 2007 Kathy Gevlin |
How Are You Doing? If you were to take a step back right now and ask yourself how well your financial advisory practice was meeting your objectives, what would your answer be? What are the successful ones doing right? Consider the following questions.  |
Registered Rep. September 20, 2013 Diana Britton |
RIA Margins Continue to Suffer Last year was a relatively good year for the markets; the S&P 500 was up 16 percent. Yet profit margins at registered investment advisor firms continue to fall, according to WealthManagement.com's 2013 AdvisorBenchmarking RIA Trend Report  |
Registered Rep. May 8, 2013 Diana Britton |
Moving on Up: Go Independent and Make More $ Advisors who switched firms saw a jump in their compensation, especially among those who went independent.  |
Registered Rep. January 1, 2003 Grove & Prince |
Staying Connected If financial advisors need yet another reminder about the importance of contacting clients, here it is: In our study of affluent investors conducted in late October, almost half of the respondents said they had changed primary advisors in the last year, often citing lack of contact.  |
Investment Advisor October 2008 Kara P. Stapleton |
An Alternative Education Despite investors' lack of familiarity with alternative investments, new research suggests that they are open to them, if only they are educated first.  |
Financial Planning August 1, 2010 Donna Mitchell |
Who's Planning? A study by Boston-based AiteGroup found that only 18% of independent advisors make financial planning the center of their practice.  |
Investment Advisor June 2010 John Sullivan |
Grow and Learn A poll recently conducted by the SEI Advisor Network found that the top priority for advisors in 2010 is to "create new initiatives to increase sales and grow business."  |
Investment Advisor December 2009 Maya Ivanova |
Out of the Fire Tempered by the financial crisis, the best RIA firms have grown stronger.  |
Registered Rep. September 30, 2014 |
Advisor Views on ETFs As exchange traded funds continue to take more market share, the number of advisors using the structure increased to 84 percent in 2014, up from 82 percent in 2013.  |
Investment Advisor November 2009 Angela Herbers |
The Fast Track: The M Word Cometh Older and younger advisors both have a new appreciation for marketing.  |
Financial Planning January 1, 2006 Marshall Eckblad |
It's Good to Be Big...or Little As the RIA industry continues to enjoy rapid growth, mid-size firms are feeling a profit margin crunch.  |
Investment Advisor July 2006 Maya Ivanova |
Power of the People With the proper guidance, training, and nurturing, your employees can expand your firm's presence, networking opportunities, and pool of referrals and help you grow your financial advisory firm.  |
Investment Advisor August 2007 Maya Ivanova |
A Victim of Success? A recent survey of registered investment advisors reports that while advisors recognize that marketing is a key component of their business, few devote enough time to this vital activity.  |
Financial Advisor June 2008 Grove & Prince |
Survival Of The Fittest Whatever plateau your advisory business may have reached, whatever ceiling you might have bumped up against -- now is the time to blast off or blast through.  |
Registered Rep. November 20, 2009 David A. Geracioti |
Schwab Survey Shows Many FAs at Big Firms Disgruntled (Surprise!) Obviously, the dramatic upheaval that changed the landscape of Wall Street is having some negative effect on advisors at major firms.  |
Financial Planning April 1, 2010 Donna Mitchell |
Going for Growth As RIAs gear up to grow their practices this year, they are doing more than scooping up unhappy wirehouse clients. They have identified three major strategies: increase spending on marketing, more technology, and improve client service.  |
Investment Advisor October 2008 James J. Green |
Avoiding the Scars Independent advisors not only are gaining market share on the employee-based firms, but are learning how to build businesses that endure through bad times and good.  |
Financial Advisor April 2007 William Glasgall |
Why Marketing Works Over the years, many advisors, being analytical people at heart, have relegated marketing to a minor role behind crunching numbers for clients' financial plans and investment portfolios. Now, that attitude seems to be undergoing a long-needed change.  |
Registered Rep. June 4, 2013 Diana Britton |
Fading Bull Our annual compensation survey shows advisors are riding the market rally -- so what happens when it ends?  |
Registered Rep. June 2, 2011 Diana Britton |
Dog Days of Summer: Advisors Brace for Slow Months Ahead Advisors are expecting the summer doldrums to kick in for the stock market and the economy over the next few months, according to Rydex|SGI's Advisor Confidence Index.  |
Financial Planning February 1, 2010 Donna Mitchell |
More Money in Motion During the financial crisis, the majority of high-net-worth clients maintained accounts with at least two financial advisors, Boston-based Cerulli Associates said in a January report.  |
Registered Rep. September 16, 2011 Jerry Gleeson |
RIA Interest in Financial Planning Grows, Industry Data Suggests Financial planning activities are playing a growing role in the service offerings of registered investment advisors.  |
Registered Rep. February 27, 2003 Will Leitch |
Wealthy Clients Growing Disenchanted with Advisors A just-released report from the Spectrem Group, a Chicago-based consulting firm specializing in the affluent market, says only 59 percent of high net-worth clients are pleased with their advisors' performance. That's down from a 79 percent satisfaction rate just two years ago.  |
Financial Planning September 1, 2010 Donna Mitchell |
Social Value A joint study of 144 registered investment advisors by Pershing Advisor Solutions and Aite Group offers evidence that social media is more than an afterthought for advisors. Instead, it's a useful tool for reaching potential customers.  |
Financial Planning January 1, 2005 Paramjit Mahli |
Adviser Pulse Regulations take their toll on financial advisers.  |
Financial Advisor July 2012 Jim McConville |
RIAs Catching Up To Brokers In Compensation The compensation gap dividing elite independent advisors and top Wall Street brokers is closing, according to new research.  |
Financial Planning September 1, 2007 Elizabeth O'Brien |
Working Smarter The new Rydex benchmarking survey reveals the habits of highly successful advisors.  |
Investment Advisor December 2009 Angela Herbers |
The Fast Track: Figures Don't Lie Finding the compensation benchmarks you need may take work.  |
Investment Advisor April 2006 Maya Ivanova |
Self Improvement In the recent supplement to the 2005 Rydex AdvisorBenchmarking Survey, many advisors recognize that simply maintaining the status quo is not enough. They're continuously examining their business plans and investment processes to look for improvements.  |
Registered Rep. October 31, 2014 Megan Leonhardt |
The Lost Opportunity Despite the greater freedom and advantages using the tools can bring, only 53 percent of advisors at RIA firms are using social media for business.  |
Financial Planning January 5, 2008 John J. Bowen Jr. |
Better Than Average Making a New Year's resolution to improve your practice? A new survey lets you benchmark your performance against the broader advisory community.  |