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Registered Rep. October 29, 2009 Kristen French |
RJFS Raises RIA minimums, LPL Pulls Past RJ in RIA Assets Raymond James is raising minimums for new RIAs who want to custody assets on its RJFS-IAD platform from $30 million to $50 million.  |
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.  |
Registered Rep. March 31, 2015 Diana Britton |
Do You Consider Yourself a Fiduciary? A survey of broker dealers on this question.  |
Registered Rep. February 18, 2009 Halah Touryalai |
LPL's New RIA Offering Lookin' Healthy; But Still A Pipsqueak Compared To Rivals There are some folks in the industry actually doing relatively well these days. Seriously. LPL Financial said today its new-ish RIA platform now has over $1 billion in new assets.  |
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. March 31, 2015 Diana Britton |
How Advisors Are Paid The ascendancy of fee-based compensation in the independent broker/dealer space continues.  |
Registered Rep. January 25, 2010 Halah Touryalai |
LPL's New RIA Platform Rakes in Assets Since launching the platform in October 2008 through the end of 2009, the firm gathered $7.3 billion in assets.  |
Registered Rep. February 13, 2012 Jerry Gleeson |
Raymond James Ramping Up Its RIA with New Leadership, Investment The new president, Bill Van Law, said the company plans to make a significant investment in the business in the months ahead.  |
Registered Rep. April 28, 2005 Kristen French |
Raymond James Fined, Plans to Drop Fee-Based Brokerage As part of the sanctions imposed by the NASD, if Raymond James doesn't discontinue its fee-based brokerage business, the firm will have to retain an independent consultant to oversee the creation of a supervisory system for the fee-based brokerage business.  |
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 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...  |
Registered Rep. February 7, 2012 Diana Britton |
LPL Posts Record Revenue For Year, Despite Volatility While other firms suffered in the fourth quarter on slow client activity, LPL Financial announced earnings today of $39.4 million for the quarter, up $156 million from a net loss of $116.6 million in the fourth quarter 2010.  |
Registered Rep. October 26, 2010 Jerry Gleeson |
Net Assets Rise at LPL, TD Ameritrade Trading revenue (excluding asset-based fees and advisory assets), however, was less impressive, with LPL posting modest gains and TDA seeing big declines. (Not surprising, given the overall market conditions.)  |
Registered Rep. January 23, 2009 Halah Touryalai |
Raymond James Lookin' Good--But For How Long? The folks at Raymond James have something to smile about -- the company posted positive numbers for the first quarter of fiscal 2009, and managed to beat some analysts' expectations.  |
Registered Rep. February 14, 2012 Diana Britton |
Yield of Dreams: IBD's Biggest Competition Might be a Custodian As margins continue to be squeezed, IBDs are going to have to get creative with where their revenues comes from, and that means expanding into the RIA and custody market. The question is, who'll make the next move?  |
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.  |
Registered Rep. February 7, 2011 Jerry Gleeson |
LPL Financial Posts Growth in Assets, Advisors LPL Investment Holdings reported higher revenue and adjusted profit numbers for the fourth quarter, as the acquisition of an advisor network in 2010 boosted assets and advisors at the firm.  |
Registered Rep. March 5, 2012 Diana Britton |
Your Broker/Dealer May Be Headed for Divorce As independent broker/dealers continue to consolidate and the search for profitability accelerates, some firms may be considering going self-clearing, analysts and industry executives say.  |
On Wall Street March 19, 2013 Bill Willis |
Recruiter's Tour of Raymond James Morgan Keegan employees were required to make a home office visit after their firm was acquired by Raymond James.  |
Registered Rep. April 24, 2009 Halah Touryalai |
Raymond James Takes a 2Q Hit -- But Gains Retail Advisors Raymond James Financial posted dismal overall earnings for the second quarter, but its private client group appears to be a bright spot.  |
Investment Advisor March 2010 James J. Green |
RIA Growth at LPL The biggest independent broker/dealer is growing rapidly in another way: as a custodian for advisors that use LPL Financial as the custodian for their RIA activities.  |
Investment Advisor August 2008 James J. Green |
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady  |
Financial Advisor January 2006 Tracey Longo |
Working Smarter, Not Harder As more independent broker-dealers set themselves up as strategic outsourcing partners, they are finding bigger and better firms driven to their door by stagnant or shrinking profit margins and the accelerating compliance melee.  |
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.  |
Registered Rep. July 22, 2010 Christina Mucciolo |
Raymond James Financial and Wells Fargo Retail Brokerage Units Hang In There A report on earnings from two major financial firms.  |
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. 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.  |
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.  |
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. April 29, 2005 Kristen French |
Raymond James Fined, Drops Fee-Based Brokerage---Will Others Follow? Following the NASD fine of Raymond James for pushing fee-based accounts on the wrong clients, the next question is how the settlement will affect other firms that offer the same accounts, including wirehouse giants Morgan Stanley, Merrill and Smith Barney.  |
Registered Rep. December 9, 2003 Will Leitch |
Raymond James Audits Itself In the wake of last week's news that regulators have recommended "enforcement action" against Raymond James Financial for failure to offer clients breakpoints, the Florida-based brokerage has called for an all-hands-on-deck audit of its mutual fund trading.  |
Investment Advisor December 2009 James J. Green |
Catching Up With...Gary Gallagher A chat with LPL's executive VP strategic programs and support services.  |
Registered Rep. April 2, 2012 Diana Britton |
It's Official: Morgan Keegan Advisors Now Work for Raymond James The next step in the integration process will be to roll out Raymond James' products and services to Morgan Keegan advisors.  |
Registered Rep. June 1, 2006 John Churchill |
Life After Tom After 36 years as CEO of Raymond James Financial, 63-year-old Thomas James may one day soon have time to improve his golf game.  |
Registered Rep. April 21, 2011 Diana Britton |
Raymond James Adds Assets, Loses Advisors Raymond James Financial's Private Client Group led the firm's growth in the second quarter.  |
Investment Advisor September 2006 Kathleen M. McBride |
B/d Briefing: Raymond James Gets Results In the continuing evolution of the investment industry, one consistent trend has been the gradual reduction in fees. Could lower costs be next for variable annuities?  |
Financial Advisor March 2008 Joel Bruckenstein |
Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers.  |
Financial Advisor May 2012 |
Satisfaction A job satisfaction study by J.D. Power found that financial advisors' happiness with their work is most dependent on their firm's performance.  |
Registered Rep. September 1, 2010 Halah Touryalai |
Outgrowing the SERIES 7 There is a coveted cohort of dually registered advisors who are dropping their Series 7 licenses and leaving their b/ds behind.  |
Registered Rep. October 20, 2010 Jerry Gleeson |
Profits Soar at Wells Fargo, Raymond James The brokerage business of Wells Fargo of San Francisco, and independent b/d Raymond James Financial Inc. of St. Petersburg, Fla., both reported mixed performances today, with sharply higher year-over-year profits contrasting with more subdued sequential results.  |
Financial Advisor March 2012 |
Raymond James Hedges Bets Raymond James Financial Services CEO Dick Averitt related a story of how the independent contractor grew from a relatively small base 25 years ago to the largest part of the brokerage firm's business today.  |
Registered Rep. April 27, 2011 Diana Britton |
Poll: Do Recruiters Promise Too Much? A former Raymond James advisor recently filed suit against the broker/dealer claiming an internal recruiter misrepresented the support, technology and compensation the firm could deliver.  |
Registered Rep. October 20, 2011 Diana Britton |
Raymond James Posts Flat Earnings, Record Advisor Productivity in Fiscal Q4 CEO Paul Reilly said the private client group had strong performance driven by record advisor productivity.  |
Financial Planning March 1, 2007 Elizabeth O'Brien |
Clearly, Competition LPL's clearing deal with AXA Advisors prompts questions about recruitment among independent broker-dealers.  |
Financial Advisor January 2005 Tracey Longo |
How Fee-Based Programs Led 2004 Brokerage Profits Fee-based profitability is not lost on brokerage executives, who are ramping up programs designed to attract more planners to a fee-based business model and away from traditional commissions.  |
Investment Advisor June 2008 Kara P. Stapleton |
Power of the Platform LPL will build a custodial offering for its own -- and outside -- RIAs.  |
Registered Rep. July 21, 2011 Diana Britton |
Raymond James Rep Count, Assets Up Amid Tough Recruiting Environment Raymond James Financial's private client group added 20 advisors and reported a $3 billion boost in client assets.  |
Financial Advisor May 2007 Eric Rasmussen |
What's New At The Custodian Custodians are continuing to offer new services for fee-only planners in their efforts to woo RIAs.  |
Financial Advisor November 2005 Tracey Longo |
All For Advisors Brokerage executives are doing their best to deliver the tools advisors need to move their business to the next level, while still remaining efficient. That includes streamlined technology, investment and rebalancing selections, outsourcing, practice management and business development assistance.  |
Investment Advisor November 2007 Kathleen M. McBride |
Migration Time Is repapering accounts for 202(a) the last straw for wirehouse reps?  |