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Registered Rep. July 8, 2015 Jerry Gleeson |
No Slowing RIA Growth In the financial advisory industry there are potential regulatory burdens, fickle investors, and crafty competitors -- but nothing has changed the relentless march of the registered investment advisor space since the 2008 crash.  |
Financial Planning January 1, 2011 Jonathan Beatty |
Joining Forces Does your firm have the human resources infrastructure to recruit and integrate a new advisor or team of advisors?  |
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.  |
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 Advisor March 2006 Rebecca Pomering |
Flying Solo Can Be Lucrative Financial performance is not the only measuring stick of business success. And the ensemble model is not the only model that financial advisors can adopt to be successful.  |
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 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.  |
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 30, 2011 Matt Matrisian |
Bridging the Succession-Planning Gap Too many advisors need help planning their financial futures. Today, only about 18 percent of independent advisors have a well-defined business succession plan that is ready to implement.  |
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. March 22, 2013 Mindy Diamond |
Of Myths and Moving: Part IV When it comes to preconceived notions about the wirehouse world and independence, many advisors have it all wrong. Here are the five most common myths advisors have today.  |
Registered Rep. December 16, 2011 Jerry Gleeson |
Compliance Outsourcing Gains Favor With RIAs Charles Schwab's RIA Benchmarking Study this year reports that 38 percent of firms were outsourcing their compliance functions, up from 27 percent in 2010.  |
Financial Advisor December 2011 Eric Rasmussen |
Free-Range Advisors Custodians to independent advisors are in an arms race to give bigger, better software and practice management packages.  |
Financial Planning June 1, 2007 Deborah Doyle McWhinney |
Independents' Day As investment advisors become more popular and profitable, they must find new ways to keep ahead of the competition.  |
Registered Rep. July 5, 2012 Jerry Gleeson |
A League of their Own While the Big Four custodians still dominate the market, some smaller firms are making their presence felt.  |
Registered Rep. November 1, 2013 Megan Leonhardt |
The Risks of a Solo Practice Solo advisors face many unique challenges, but perhaps the biggest is that they are, in bad times as well as good, solo.  |
Financial Advisor February 2008 Joel Bruckenstein |
Custodians Beef It Up Since advisors' work flows are often intertwined with custodian-supplied technologies, let's take a look at what the custodial firms have in store for 2008.  |
Financial Advisor November 2012 Joni Youngwirth |
From Solo To Silo, From Ensemble To Enterprise Firms evolve for many reasons. What kind of firm is yours?  |
Investment Advisor March 2006 Angela Herbers |
The Fast Track: Glory Days Financial planners need to decide whether they want stardom or the benefits of a growing firm.  |
Financial Advisor October 2010 Michael Patrick Jacobs |
Investors Demand More This advisor provides highlights of what he's found clients today are looking for when they seek advice.  |
Registered Rep. June 29, 2011 Jerry Gleeson |
Tibergien: Selling Your Practice? Offer a Growth Story Too many advisors see successful practice planning as a career endgame that allows them to sell and move on. That's the wrong way to look at it, says Mark Tibergien.  |
Registered Rep. September 27, 2011 Jerry Gleeson |
Want More Prospecting Time? Integrate Your Tech, Study Says The cost of inefficient technology integration at registered investment advisor practices may be more than you would think.  |
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.  |
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 July 2011 Bernie Clark |
A Record Year For RIAs Discipline both on the expense and client care sides has created sound business practices for an evolving RIA industry.  |
Financial Advisor February 2004 Sydney LeBlanc |
Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms.  |
Financial Planning July 1, 2009 Paul Menchaca |
Soft Landing Most Wall Street refugees are taking measured steps toward independence by joining an independent broker/dealer, rather than launching a registered investment advisory practice on their own.  |
Investment Advisor February 2008 Angela Herbers |
Barring the Door How to stop training your (future) competition.  |
Registered Rep. December 4, 2012 Jerry Gleeson |
Don't Fear Your Fees RIAs are loathe to increase rates, believing it alienates clients. But industry insiders say advisors have more juice than they suspect. Here's how to get a raise.  |
Registered Rep. February 25, 2011 Diana Britton |
Financial Advisors Must Prepare For Coming Retirement Advice Boom As Baby Boomers retire, and switch gears from asset accumulation to asset distribution, advisors are going to have to become more sophisticated and efficient in their delivery of financial advice  |
Financial Advisor March 2012 Bernie Clark |
The Changing RIA Advisors need to start thinking bigger and go beyond their current capabilities.  |
Financial Advisor November 2010 David Lawrence |
Back In The Fold? Will the new regulations force independents to return to broker-dealers?  |
Registered Rep. November 21, 2014 Anne Field |
Plug And Play? Matthew Westhoff and his partners have a successful practice and want to expand it by letting other advisors plug into their operation. How can they structure a competitive contract and attract qualified candidates?  |
Financial Advisor October 2012 Karen DeMasters |
Competition, Succession Plans Key To RIA Growth The independent financial advisor channel has enjoyed a strong decade of growth, but firms in this space need to understand the changing factors within the industry says a recent white paper by the Alliance for Registered Investment Advisors.  |
Registered Rep. March 2, 2015 Diana Britton |
Crowded Out Some level of competition between advisors and custodians has been around for years. Still, some advisors feel recent events make the distinction between business partner and market competitor less clear.  |
Registered Rep. December 4, 2012 Jerry Gleeson |
A Lifestyle Choice REP.'s recent "Practice Management" study shows that RIAs tend to use coaches less than counterparts in other channels. Are time and money constraints the reason?  |
Investment Advisor September 2009 Melanie Waddell |
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away.  |
Financial Advisor November 2008 |
Frontline News News for the Financial Industry: Tumult Could Expand Ranks Of RIAs... M&A Activity Remains Healthy... Independent B-Ds: Don't Tread On Us... Who Has The Most Satisfied Advisors?... The Business Of Serving Business Owners... etc.  |
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.  |
Financial Planning November 1, 2008 Stacy Schultz |
Key to Happiness The key to an advisor's happiness is support, at least for the independent advisor.  |
Registered Rep. August 8, 2011 Jerry Gleeson |
Schwab: Franchisees Can't Poach RIA Clients Advisors who are considering Charles Schwab's new independent branch program are being told they will have to abide by the company's contact policy.  |
Investment Advisor October 2005 Melanie Waddell |
The Playing Field: Welcome to the Family Becoming a wealth manager is not quite as easy as it looks. But the mid-tier millionaires are underserved, so honing skills and capturing some of them as clients should be on every financial adviser's list.  |
Registered Rep. February 2, 2011 Diana Britton |
RIA M&A Hits Record in 2010, More To Come In 2011 Registered investment advisory firms were furiously busy getting hitched last year: they did the highest number of merger and acquisition deals recorded in at least seven years.  |
The Motley Fool October 30, 2006 Dan Caplinger |
Avoid the Boiler Room Some financial advisors know more about sales than they do about investing. Finding good financial advice is tough. Investors with little or no knowledge about their finances are extremely vulnerable to disreputable professionals.  |
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.  |
Investment Advisor October 2010 Angela Herbers |
Show Yourself the Money Advisors need to learn to pay themselves first  |
Investment Advisor December 2005 Bob Clark |
Why Bigger is Better This compensation and staffing study offers a preview of how financial advisory firms will be different five or 10 years from now.  |
Financial Advisor January 2008 Bruce W. Fraser |
Growing Up Over the next five years, the typical RIA will undergo rapid transformation, and the average RIA firm is expected to at least triple in size. To accommodate such growth, hiring decisions will become critical, stretching far beyond the traditional tendency of firms to simply add more advisors.  |
Financial Planning February 1, 2007 Elizabeth O'Brien |
Advisor Pulse Financial advisors used to flying solo may be daunted by the prospect of hiring help, but going it alone can put a big damper on growth, according to a recent survey.  |
Registered Rep. July 5, 2011 Jerry Gleeson |
Schwab Finds RIAs Posted Record 2010 Revenue, AUM Average profits surged 45 percent last year among registered investment advisors surveyed, but don't look for a repeat of this year.  |