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Registered Rep. July 27, 2011 Diana Britton |
LPL Posts Record Revenues, Asset Levels; Adds 100 Reps LPL Financial reported record revenues in the second quarter of $894 million, a 13.1 percent gain.  |
Financial Advisor November 2009 |
Frontline News Advisor News: Poll on advisor pay... Citi Embracing Fee-Only Model... RIAs Set Record For Repurchasing Their Firms... FINRA Expands Arbitration Pilot Program... SEC Expects To Examine 9% Of RIAs Annually... more...  |
On Wall Street December 1, 2010 Alan J. Foxman |
When FINRA Intervenes Even non-member firms (such as registered investment advisors) can voluntarily agree to use either FINRA's arbitration or mediation services.  |
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. 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.  |
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.  |
Registered Rep. December 1, 2006 Anne Field |
The Metamorphosis If you are ready to go out on your own as a registered investment advisor, you're likely to encounter a host of tricky problems and stumbling blocks. Here's a look at five of those problems and what you can do about them.  |
Registered Rep. February 29, 2012 Jerry Gleeson |
It's a Tough Route for Younger Advisors Anew report by Charles Schwab, which shows that advisors under the age of 40 are more likely than their older peers to feel pressure to grow their book of business, or to focus on selling proprietary products.  |
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.  |
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 February 2004 Sydney LeBlanc |
Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms.  |
Investment Advisor January 2007 Bob Clark |
The Trust Threat Financial advisors need to rethink adding trust services to their offerings.  |
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. 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.  |
Financial Advisor November 2010 David Lawrence |
Back In The Fold? Will the new regulations force independents to return to broker-dealers?  |
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 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 March 1, 2012 Donna Mitchell |
LPL Aims High In its earning call last month, LPL Investment Holdings shared strong performance numbers for fourth-quarter and full-year 2011.  |
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.  |
Financial Planning June 1, 2013 Ann Marsh |
FP50: Big IBDs Hit a Speed Bump Is the boom over? After years of double-digit growth, independent broker-dealers hit a rough patch in 2012. We report from the front lines of the FP50.  |
Registered Rep. March 4, 2009 John Churchill |
SEC Sued by Stanford Group Advisors for Violation of Constitutional Rights The SEC has frozen client accounts of Stanford Financial Group advisors, and has ordered them not to communicate with their clients. The advisors are fighting back.  |
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. May 14, 2015 Megan Leonhardt |
LPL Incentivizes Hybrid RIAs to Bring Assets Over LPL Financial is offering its hybrid advisors up to $100,000 to shift their assets held elsewhere to LPL's advisory platforms, according to an internal communication sent to advisors Wednesday.  |
On Wall Street May 1, 2011 Lorie Konish |
SEC To Revise Rules On Accredited Investors While proposed changes to the federal definition of an accredited investor seek to boost protection for investors participating in non-public offerings, financial advisors must approach the investments with vigilance, legal experts say.  |
Financial Advisor September 2008 Tracey Longo |
Laws Of Attraction A firm's ability to navigate trusts can be their calling-card to attract high-net-worth clients.  |
On Wall Street July 1, 2010 Frances A. McMorris |
The Burgeoning Battle For The Best And The Brightest What are the wirehouse behemoths doing to keep their advisors happy, attract others, and, in turn, maintain the bulk of high-net-worth client assets?  |
Investment Advisor September 2005 Mark Tibergien |
Formulas for Success: The Price of Everything... If you're not adding profit into what each financial advisory client costs, you're losing money. Advisors who use a combination of performance fees tied to assets and a retainer tied to more complex planning are able to consistently demonstrate their value.  |
Registered Rep. February 7, 2012 Diana Britton |
Are Regulations Killing the Hybrid Financial Advisor? Some advisors say new compliance and regulatory burdens under Dodd-Frank are making the hybrid model untenable.  |
Financial Advisor April 2010 Gail Liberman |
Shaky Ground Tenant-in-common 1031 exchanges, private placement deals heavily hyped to financial advisors during the real estate boom, are drawing action by state and federal regulators.  |
Financial Advisor July 2009 Sherri Scordo |
Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors.  |
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.  |
On Wall Street July 1, 2009 Alan Foxman |
Expunged Arrest from Past Still Haunts Advisor Readers questions regarding expunged arrest, private placements, and arbitration actions against advisors are answered.  |
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.  |
Financial Advisor January 2004 Dorothy Hinchcliff |
Custodians Are Knocking More custody players have been clamoring for the business of registered investment advisors, and that trend will continue this year, say two well-known research firms for financial institutions and investment managers.  |
Financial Advisor January 2008 Tracey Longo |
Breakaway Brokers Despite being in business a shorter amount of time than the average advisor, breakaways have more assets under management, higher total revenues and a significantly higher growth rate.  |
| Financial Advisor |
Frontline News News of interest to advisors: Clients want insured investments... Francais succeeds Kochis as Aspiriant CEO... Financial Planning Association's Top Lobbyist Stepping Down... New Web sites keep advisors honest... more...  |
Financial Advisor May 2005 Gail Liberman |
Understanding Real Estate Exchange Deals Here are some guidelines to help financial advisors assess the value of 1031 real estate exchanges.  |
Investment Advisor October 2007 Kara P. Stapleton |
News & Products, October 2007 FINRA fines AXA Advisors for "failing to adequately supervise its fee-based brokerage business"... AIG announces organizational changes... Commonwealth Financial Network provides advisors with Estate Planning Blueprint... etc.  |
Financial Planning December 1, 2010 Donna Mitchell |
Turning on the Charm Next month the SEC reports to Congress on its recommendations for enhancing examinations for investment advisors. FINRA, meanwhile, is trying to persuade movers and shakers on the Hill that it already has the answers.  |
Investment Advisor August 2009 James J. Green |
Schwab Cuts Costs for Its Advisors Charles Schwab Advisor Services announced a series of moves that will have the net effect of reducing costs to the RIAs that custody with Schwab.  |
Financial Planning June 1, 2012 Donna Mitchell |
Aiming Lower Mass-market investors, with their relatively tiny net worth but big growth potential, are attracting increased attention from the financial planning industry. Two major companies have announced forays into this market sector.  |
Financial Advisor September 2009 |
Frontline News News for the financial services industry: Regulations, Fiduciaries And Other Things... Breakaway Broker Trend Slowing?... Barney Frank Won't Push SRO For Advisors... CFP Board's Proposed New Education Standard... M&A Activity Down, But Not Out... more...  |
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.  |
Financial Advisor October 2012 Brian Hamburger |
Sleight Of Hand The apparent death knell of Finra as an SRO by no means signals victory.  |
Financial Advisor September 2005 Raymond Fazzi |
A Question Of Trust Custodians square off in a newly competitive trust services market.  |
Registered Rep. November 1, 2005 Christopher O'Leary |
Going All the Way Across the country, registered rep employees of national broker/dealers daydream of chucking it all and going off on their own. But how far do you go? Which is the best model for keeping the most of what your business generates?  |
Registered Rep. June 4, 2012 Lauren Barack |
The Fishbowl Effect As financial advisor ratings websites like BrightScope and Advice IQ proliferate, advisors are going to have to get comfortable with having their records a click away from clients and prospects.  |
Financial Advisor June 3, 2010 |
Frontline News Advisor news: Threshold Rising... Staying Healthy May Cost You In Retirement... SEC Looks To Update ADV Part II... IRS Sets Sights On The Very Wealthy... more...  |
Financial Advisor July 2012 Bernie Clark |
The RIA Universe Advisors should look not just at their own internal business practices but also at the changes and trends occurring across the RIA field.  |
Registered Rep. October 8, 2015 Megan Leonhardt |
Breakaway Advisors Moving More to Existing RIAs More advisors are looking to leave the wirehouses and brokerages by joining an existing registered investment advisory firm, rather than starting their own.  |