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Financial Planning June 1, 2008 Philip Palaveev |
Be Careful What You Wish For Understanding the advisor and independent broker-dealer relationship.  |
Financial Advisor August 2012 Karen DeMasters |
The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers.  |
Financial Advisor June 2007 Sherri Scordo |
Financial Advisor's 2007 Broker-Dealer Guide Top independent broker-dealers ranked by gross revenue: LPL... AIG Advisors Group... ING Advisors Network... etc.  |
Financial Planning September 1, 2008 Callahan & Malo |
Hybrid Chic A trend toward hybrids in the financial services industry is emerging. Increasingly, firms, advisors and brokers are establishing practices that manage both commission -- and fee-based businesses.  |
Financial Advisor November 2010 David Lawrence |
Back In The Fold? Will the new regulations force independents to return to broker-dealers?  |
Financial Advisor September 2005 Bruce W. Fraser |
How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.  |
Financial Planning February 1, 2010 Marion Asnes |
One Fee to Bind Them In 2009, broker-dealer Capital Analysts introduced a new flat-fee business model. So how's it going?  |
Financial Planning June 1, 2008 Elizabeth O'Brien |
Set Me Free LPL Financial staked a bigger claim on the independent advisor market last month with the announcement that the broker-dealer will allow its advisors to do business under their own RIA.  |
Financial Advisor August 2009 Eric Rasmussen |
Wish Upon An 'IAR' RIA or IAR? Registered investment advisor or independent advisor representative; the anagram you choose will depend on how big you are and how independent you want to be.  |
Registered Rep. March 8, 2011 Diana Britton |
IBDs Dress Up Offerings For Hybrids Independent broker-dealers have lately been ramping up their efforts to attract hybrid advisors.  |
Financial Advisor August 2010 Raymond Fazzi |
Looking To Streamline Now that they've experienced the harsh consequences of poor business management, fee-based advisors are looking to their custodians and broker-dealers for all the help they can get.  |
Financial Advisor August 2006 Tracey Longo |
Late Summer Recruiting While the recruiting party will get tougher some day for broker-dealers who cater to independent advisors and reps, for now they are enjoying their competitive advantage: They give brokers and advisors who want to own their own business the chance to do that.  |
Financial Planning June 1, 2010 Paul Menchaca |
Survivor Island Firms that endured the worst of the financial crisis and lived to tell about it.  |
Financial Advisor November 2012 Mary Rowland |
Tough Test An entrepreneur evaluates advisors for the wealthy. These families now have a "search firm" to perform due diligence on advisors and help the families find exactly the right one.  |
Financial Advisor March 2012 Eric Rasmussen |
Swimming In Shallow Water Broker-dealers face a stagnant rep pool, shrinking margins and the choke hold of regulators. But it's been a boon to the biggest consolidators.  |
Financial Planning May 1, 2011 Donna Mitchell |
Hybrid's New Groove Registered investment advisor firms looking for ways to expand their businesses might try turning to broker-dealers for a boost.  |
Financial Advisor February 2004 Sydney LeBlanc |
Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms.  |
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.  |
Financial Advisor January 2006 Sydney LeBlanc |
Embracing The F Word US Fiduciary offers a business model that is attracting ultra-high-end advisors who want to be fiduciaries.  |
Financial Planning March 1, 2010 Donna Mitchell |
Open Season NFP Securities says it will become the first independent broker-dealer to offer hybrid advisors a single platform with complete open architecture, empowering advisors to ally with any major custodian they choose.  |
Financial Advisor March 2012 David Lawrence |
Consolidation Quickens Advisors are increasingly turning to others to increase service and decrease costs.  |
Financial Advisor May 2005 Raymond Fazzi |
Betwixt And Between Hybrid advisors work in both the fee-based and commission worlds.  |
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.  |
Registered Rep. March 23, 2011 Philip Palaveev |
How To Handle An Imploding Broker/Dealer As we watch one independent broker/dealer after another succumb to regulatory action, financial problems or consolidation, many advisors are questioning the security of their very livelihoods.  |
On Wall Street July 1, 2010 Bill Willis |
Defining A Firm's Label, Where Do You Fit In? We in the securities industry make a big deal of classifications for our firms. However, over the years these categories have become blurred, as have their advantages and weaknesses.  |
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.  |
Financial Advisor November 2008 Gail Liberman |
War Breaks Out For Wirehouse Brokers The economic crisis on Wall Street, among many other things, is causing wirehouse brokers to reconsider the value proposition offered by the giant financial service firms.  |
Financial Planning January 1, 2010 Paul Menchaca |
Plains Vision Surrounded by nothing but miles of farmland are the offices of Cambridge Investment Research, a pioneer of the hybrid advisory model.  |
Financial Advisor October 2005 Chris Radford |
Practice Management: What The Survey Doesn't Say Because there are no surefire business plans for success, it takes a unique combination for each financial advisor to find the "x-factor" -- that intangible number in every business opportunity that equals ultimate success.  |
Financial Planning June 1, 2011 Donald Jay Korn |
FP 50: Revenue Rising The money stream is flowing again: After two years of stagnant or, worse, shrinking revenue, the 50 largest independent broker-dealers report their annual revenues rebounded last year - significantly in many cases.  |
On Wall Street May 1, 2011 |
Five Questions With Sean Walters Sean Walters of the Investment Management Consultants Association shares his thoughts on the industry and credentialing programs.  |
Financial Planning September 1, 2013 Rachel F. Elson |
Commonwealth Financial's Big Fee-Based Bet Commonwealth Financial Network already stands out for its revenue mix. Now it has a new model for RIAs.  |
On Wall Street September 1, 2011 Nick Georgis |
Taking The Hybrid Road As more advisors transition to independence these days, a growing number of them are choosing to adopt a hybrid business model that lets them conduct both commission-based brokerage business and fee-based advisory business. For many advisors, the hybrid road may offer the best of both worlds.  |
Financial Planning June 1, 2007 Elizabeth O'Brien |
FP50: Small Wonders Smaller broker-dealers vow to retain their personalized service as they pursue ambitious goals.  |
Financial Advisor June 2009 Jeff Schlegel |
Money In Motion The economic crisis has wreaked havoc on wirehouses, and more advisors are looking for new opportunities.  |
Registered Rep. November 5, 2012 Scott Smith |
Look Before You Leap The very benefits IBDs have used to lure advisors may actually be their undoing.  |
Financial Advisor June 2010 Jeff Schlegel |
Who's Your Market? Some broker-dealers have niches that set them apart.  |
Financial Planning September 1, 2006 David Spinar |
Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers.  |
Financial Advisor July 2007 Tracey Longo |
The Big Picture Clearing firms stake their future on helping financial advisors' businesses grow.  |
Financial Advisor March 2012 Joni Youngwirth |
When To Prune One can find good reasons to cut clients and good reasons not to. Advisors who do are typically happy they took action.  |
Registered Rep. May 23, 2011 Jodie Papike |
Ninety-five Percent Payout? I Don't Think So The headline payout numbers offered by firms can often be quite misleading so it's not a bad idea to take a second look. There are typically a host of costs that cut into an advisor's net take-home pay, and these can add up.  |
Investment Advisor April 1, 2011 Jonathan Henschen |
Making the Case for Midsized Broker-Dealers Between financial viability and less cumbersome compliance burdens, midsized BDs have a lot going for them  |
Financial Planning June 1, 2007 Donald Jay Korn |
FP50: Pressure Points It's a great time to be in financial services. But broker-dealers' challenges are growing as fast as their opportunities.  |
Financial Planning March 1, 2011 Donald B. Trone |
All for One... A uniform fiduciary standard of conduct, coupled with harmonized regulations, should dramatically improve the process for investors.  |
Financial Advisor September 2012 Jim McConville |
Veteran Industry Group Going After Small To Midsize B-D, Hybrid Markets Calton & Associates Inc. has been acquired by a group of executives, spearheaded by independent brokerage veteran John Simmers, that plans to use the firm as a launching pad for serving the small to midsize independent broker-dealer and hybrid investment advisor market.  |
Financial Advisor May 2012 David Lawrence |
Missed Opportunity Most advisors under utilize the technology offered by their broker-dealer or custodian. Why?  |
Financial Advisor March 2008 Tracey Longo |
A Better Way The key to Spire's success is that the hybrid firm offers advisors superior technology, complete freedom and top investment platforms, along with a registered investment advisor affiliation and a newly minted in-house broker-dealer  |
Financial Planning November 1, 2007 David Grau |
Protecting Equity As independent advisors move to evaluate, build and realize the equity in their growing practices, one holdover succession practice threatens to undermine their progress.  |
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.  |
Financial Advisor April 2009 David Lawrence |
Migratory Patterns Advisors who want to move to the independent world should spend a lot of time planning the transition.  |