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Registered Rep.
June 1, 2012
Diana Britton
Breaking Out: A New Era in Insurance Insurance firms constantly go through cycles of acquisition and sale when it comes to their broker/dealer subsidiaries. But the current sell cycle is different, and it may shake up how the business works. mark for My Articles similar articles
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. mark for My Articles similar articles
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? mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
September 2008
Eric Schwartz
B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future. mark for My Articles similar articles
Registered Rep.
July 1, 2006
Kristen French
Independent Channel Big and Getting Bigger Every financial-advice channel grew in terms of advisor headcount in 2005 except for the regional and bank broker/dealers, according to recently released research. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
June 27, 2011
Diana Britton
The Good, the Bad and the Ugly It seems like every week, another independent broker/dealer goes under or up for sale because of a bad private placement or other problematic alternative investments. All that turmoil has left a pool of advisors out in the cold, looking for new firms to call home. mark for My Articles similar articles
Registered Rep.
November 6, 2008
Christina Mucciolo
Bank Run It might be time to reconsider the stereotype of the bank broker. mark for My Articles similar articles
Registered Rep.
November 15, 2010
Diana Britton
How One Wealth Management Firm Intends To Grow Amid Competition At a time when recruitment activity in the independent broker/dealer channel has slowed, Capital Guardian Wealth Management, a hybrid firm, is undergoing a major growth initiative, with plans to add 15 advisors by year-end. mark for My Articles similar articles
Registered Rep.
September 11, 2009
Halah Touryalai
Survey Says: Wall Street Advisors Going...Wait For It...Independent! Wall Street wirehouse firms are expected to see a net loss of $188 billion in client assets to other channels in the industry, including RIAs, independent broker/dealers and regional b/ds. mark for My Articles similar articles
Registered Rep.
December 16, 2009
Halah Touryalai
Wirehouse Switching Slows in Second Half of 2009 In November, just 177 advisors in the wirehouse channel switched firms, the smallest monthly number all year, according to Discovery Database. mark for My Articles similar articles
Registered Rep.
March 31, 2015
Diana Britton
The Rare Prop Product In REP.'s fifth annual Independent Broker/Dealer Report Card, only 19 percent of 2,058 advisors surveyed said they sell in-house or proprietary products. mark for My Articles similar articles
Registered Rep.
February 1, 2005
By the Numbers Top 10 Broker/Dealers, by Advisor Headcount: Merrill Lynch... Wachovia... Smith Barney... Morgan Stanley... etc. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
January 6, 2010
Halah Touryalai
Wirehouse FAs Switching B/Ds Slows The number of wirehouse advisors switching broker/dealers has been in steep decline since June. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
July 14, 2009
Halah Touryalai
Financial Advisor Switching Firms Jumps in June June was a busy month for financial advisors on the move. The number of advisors switching firms jumped 45 percent in June versus May, according to Discovery Database. mark for My Articles similar articles
Investment Advisor
January 2006
Melanie Waddell
The Playing Field: Banking on Wealth Management The oldest baby boomers hit 60 next year, so now is as good a time as any to assess whether you're truly providing the wealth management services that your existing clients, and prospective ones, need. Help from a broker/dealer, consultant, or a colleague is well within your reach. mark for My Articles similar articles
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? mark for My Articles similar articles
Registered Rep.
February 16, 2010
Mindy Diamond
Recruiting Bonuses Are Still Strong TD Ameritrade, Schwab, Fidelity and Pershing are all reporting that their pipelines of interested advisors is more robust than ever in their collective histories. mark for My Articles similar articles
Investment Advisor
September 2009
Melanie Waddell
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away. mark for My Articles similar articles
Registered Rep.
June 17, 2011
Philip Palaveev
The Problem with Recruiting Bonuses Too many advisors believe that broker/dealers have gone crazy and are paying great bonuses because they are very competitive. mark for My Articles similar articles
Investment Advisor
June 2009
James J. Green
Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
September 2007
Kathleen M. McBride
Around the Table The leaders of the 2007 Broker/Dealers of the Year speak frankly about their challenges and opportunities. mark for My Articles similar articles
Investment Advisor
January 2006
Kathleen M. McBride
Balancing Act The broker/dealer model is changing, spurred by business and regulatory pressures, and reps may stop talking to their clients. mark for My Articles similar articles
Registered Rep.
February 7, 2012
Kristen French
More Advisors Wearing Investment Management Hat Financial advisors at broker/dealers are increasingly taking the reins on their clients' fee-based accounts, according to a report out from Cerulli Associates today. mark for My Articles similar articles
Registered Rep.
November 1, 2004
Will Leitch
The Advisor as Traffic Cop As high-net-worth investors spread their assets around more liberally, they are finding themselves in need of a traffic cop -- a central advisor who can sit in the middle of all the financial activity and make sense of it all. mark for My Articles similar articles
Registered Rep.
June 2, 2011
Diana Britton
America's Top Independent Brokerages The Merrills and Morgan Stanleys of the world say it was never an exodus, the migration is over, and it was only those advisors who couldn't make it in the cutthroat wirehouse world who crossed over to the independent side of the business. mark for My Articles similar articles
Registered Rep.
June 1, 2006
Kristen French
The Wealth Management Quest Are you really a wealth manager? Do you know what the phrase really means? It pays to know, because a new compensation report shows only 8% of advisors -- across all business channels -- actually fit the bill. mark for My Articles similar articles
Registered Rep.
August 29, 2014
Diana Britton
One Strike, You're Out When it comes to the world of independent broker/dealers, the Financial Industry Regulatory Authority is cracking down. Its stated 2014 priority is to focus its regulatory firepower on "high-risk" brokers. mark for My Articles similar articles
Registered Rep.
March 23, 2012
Diana Britton
Amid Hartford Split, Woodbury's 1,600 Reps Face Tough Choice The Hartford announced plans to sell its life insurance and retirement businesses, as well as Woodbury Financial Services, the firm's independent broker/dealer, leaving Woodbury's 1,600 reps faced with the tough choice: Find another broker/dealer or stick around and see who the new owners will be. mark for My Articles similar articles
Registered Rep.
April 1, 2008
Meet the Indies Choosing an independent broker/dealer to join isn't easy. We speak with five heads of independent broker/dealers about their businesses, an why you should join them. mark for My Articles similar articles
Investment Advisor
August 2010
Melanie Waddell
Broker/Dealer Marketing: Finding Their Voice Broker/Dealers are waking up to the new, post-downturn marketing environment. Here are a few of the best ideas. mark for My Articles similar articles
On Wall Street
July 1, 2012
Donald Jay Korn
Ranking Wirehouses, Regionals Working the Employee Advisor Business A recent report from Cerulli Associates criticized the wirehouses for focusing on higher net worth clients. The result was that these firms were giving away the middle market (investors with $100,000 to $500,000 of assets to invest) to competitors. mark for My Articles similar articles
Registered Rep.
August 1, 2006
Kevin Burke
Stay Wachovia's not the first firm to offer multiple affiliation options to its reps -- Raymond James has offered something similar for several years -- but it is the first wirehouse-type brokerage house to do so. Ultimately, the model could serve as a blueprint for the retail advisory business. mark for My Articles similar articles
Registered Rep.
October 1, 2004
Will Leitch
The Rep's Ugly Friend As the industry continues its inexorable march toward "wealth management," advisors have had to add new tools to their workbenches. Among all of them, reps seem to have the most trouble getting comfortable with life insurance. mark for My Articles similar articles
Investment Advisor
July 2009
Jonathan Henschen
Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way. mark for My Articles similar articles
Registered Rep.
November 1, 2007
Erik Kolb
Fighting The Brand X Syndrome How do independent advisors choose a broker/dealer firm to work for? Since most firms offer similar services, the decision usually comes down to "squishy" qualitative factors, like feel, culture and personal touch. mark for My Articles similar articles
Registered Rep. The Top 30 Independent Broker/Dealers in 2015 The list below is comprised of the 30 largest IBDs ranked by average assets under management per advisor, as of 2014. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
November 5, 2012
Diana Britton
Defying the Odds It's orthodoxy that small IBDs won't be able to stay in business given the unprecedented increase in regulatory and technology costs. Yet some tiny firms are bucking the trend. Here's how they're doing it. mark for My Articles similar articles
Registered Rep.
December 13, 2010
Susan Konig
IBD and RIA Opportunities Arise For Branch Managers As the independent broker/dealer and RIA channels grow, they are creating a viable market for those displaced managers. mark for My Articles similar articles
Registered Rep.
May 1, 2012
Diana Britton
Comings & Goings: May 2012 Raymond James named Erik Fruland as chief operating officer... M. Kitces has been named a partner at Pinnacle Advisory Group... Matt Lynch has landed at Tiburon Strategic Advisors... mark for My Articles similar articles
Registered Rep.
July 29, 2009
Halah Touryalai
AIG Advisor Group Sale Is Close The AIG Advisor Group may finally have found a buyer after nine months of operating in limbo. mark for My Articles similar articles
Registered Rep.
February 4, 2013
Diana Britton
Faking It: Our Third-Annual IBD Report Card Survey The economics of the IBD business haven't changed; independent b/ds are up against it. They're faced with rising regulatory costs and a greater demand for technology investment to stay competitive. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
September 2008
Melanie Waddell
Whither the Independent B/D? Securities America's acquisition of Brecek & Young is yet another sign of dwindling independent broker/dealers. mark for My Articles similar articles
Registered Rep.
June 7, 2011
Diana Britton
Advisor Group in Talks to Acquire Smaller B/D Independent broker/dealer network Advisor Group is talking to a number of small and mid-sized broker/dealers that the company would consider purchasing. mark for My Articles similar articles