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Financial Planning
September 30, 2013
Charles Paikert
Industry Leadership: Ron Carson Taking bold steps is one of the reasons why Ron Carson, chief executive of Omaha, Neb.-based Carson Wealth Management, is Financial Planning's Industry Leadership Influencer Award winner this year. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Planning
October 1, 2009
Conrad & Mitchell
Indies' Gain Ground Registered investment advisor firms, independent broker-dealers and dually registered advisors are gaining market shares at the expense of wirehouses. mark for My Articles similar articles
Registered Rep.
November 1, 2006
Kevin Burke
Money Managers Don't Get RIA Market A large number of money managers still haven't figured out how to tap the registered investment advisor market to sell their funds, according to research. mark for My Articles similar articles
Registered Rep.
September 20, 2013
Diana Britton
RIA Margins Continue to Suffer Last year was a relatively good year for the markets; the S&P 500 was up 16 percent. Yet profit margins at registered investment advisor firms continue to fall, according to WealthManagement.com's 2013 AdvisorBenchmarking RIA Trend Report 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
Investment Advisor
May 2009
Kelli Cruz
Walk On The trend of wirehouse advisors joining the independent RIA channel has ramped up significantly in the last several years, and is only increasing in the wake of Wall Street's epic meltdown. mark for My Articles similar articles
Registered Rep.
March 6, 2014
Diana Britton
Independent Channels Continue to Steal from Wirehouses RIA and dually registered advisory channels will grow their share of the advised assets to 26 percent by 2016, according to a report by Cerulli Associates. That growth will largely come at the expense of the wirehouse channel. 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.
December 4, 2012
Jerry Gleeson
Taking Care of Business A survey this year by REP./Wealth Management.com shows how RIA attitudes differ from those among advisors in other channels. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
November 4, 2011
John Aidan Byrne
Rep-as-Portfolio Manager Programs Taking Off Despite the compliance hurdles, more than one third of financial advisors see direct handling of clients' assets by FAs acting as their portfolio managers clearly outpacing other fee-based management styles in the next three years. mark for My Articles similar articles
Registered Rep.
March 3, 2011
Charles Paikert
Another RIA Launches National Push Via Acquisition Add Beacon Pointe Wealth Advisors to the growing list of registered investment advisors who want to become a national firm. mark for My Articles similar articles
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. 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
Registered Rep.
September 24, 2013
Mindy Diamond
Peeking Over the Fence Is the grass really greener -- and growing faster -- on the other side? Many advisors don't know how limited they are in their growth until they start exploring other options. mark for My Articles similar articles
Registered Rep.
June 2, 2015
Megan Leonhardt
Compensation Survey 2015: The Slowly Disappearing Commission Moving from a commission-based business to one based on fees, advocates argue, removes conflicts and puts advisors on the same side of the table as their clients. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
January 22, 2015
Ryan W. Neal
Advisor Industry Shrinks While Assets Continue to Grow A recent report by Cerulli Associates found that the industry shrank 1.9 percent to 287,119 advisors in 2013. Asset levels, however, are on the rise. mark for My Articles similar articles
Registered Rep.
March 2, 2015
Megan Leonhardt
Rep as Portfolio Manager Wirehouse and national firms are the most likely to offer advisor-directed platforms, followed by the bank and independent broker/dealer channels. mark for My Articles similar articles
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? mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
June 4, 2013
Diana Britton
Fading Bull Our annual compensation survey shows advisors are riding the market rally -- so what happens when it ends? mark for My Articles similar articles
Financial Advisor
July 2006
Dorothy Hinchcliff
Climbing A Stairway To Heaven As boomers age and spend their savings, financial advisors will need to adapt their practices. mark for My Articles similar articles
Registered Rep.
May 2, 2011
Diana Britton
Top LPL Advisor Leaves to Start His Own B/D, Eyes Acquisitions Registered Rep.'s top-rated 2010 independent broker/dealer advisor Ron Carson has announced plans to leave LPL Financial mark for My Articles similar articles
Registered Rep.
November 21, 2012
Jerry Gleeson
Why Wirehouse FAs Pass on the RIA Path Independence is appealing to a growing number of wirehouse advisors, but the RIA route clearly has some challenges for most of them. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
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? mark for My Articles similar articles
Registered Rep.
September 30, 2013
Megan Leonhardt
Wirehouse Evolution Far from a dying model, the big brokerages are changing their game. mark for My Articles similar articles
Registered Rep.
May 8, 2013
Diana Britton
Moving on Up: Go Independent and Make More $ Advisors who switched firms saw a jump in their compensation, especially among those who went independent. mark for My Articles similar articles
Financial Advisor
March 2012
Wirehouses Still King Of The Hill Despite headlines about breakaway brokers and the ascendency of the independent, fee-based advisory model, the Big Four wirehouses are still holding their own. mark for My Articles similar articles
Financial Planning
June 1, 2008
Stacy Schultz
More Than Equal A study of the role of the female financial advisor. The research compares female to male advisors and looks at the varying performance levels of women advisors. 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 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. mark for My Articles similar articles
Registered Rep.
October 31, 2014
Megan Leonhardt
The Lost Opportunity Despite the greater freedom and advantages using the tools can bring, only 53 percent of advisors at RIA firms are using social media for business. mark for My Articles similar articles
Financial Advisor
August 2006
Hannah Shaw Grove
Life Insurance And Wealth Management Helping client with life insurance is an important service of effective wealth managers. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Planning
November 1, 2012
Elson et al.
Hot Topics Rosy outlook for advisory firms... Changes coming for ce credit... Retirement sweet spot... mark for My Articles similar articles
Registered Rep.
July 1, 2006
Kristen French
Trading Up The Wealth Advisor Institute, a new trade group for advisors who cater to the wealthy, opened its doors in June. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
June 1, 2015
Megan Leonhardt
Compensation Survey 2015: Crunching the Numbers The industry has come a long way in embracing a fee-based business. 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.
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
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. mark for My Articles similar articles
Registered Rep.
April 2, 2010
Jerry Gleeson
Advisor Work Station Giants Roll Out Spring Upgrades Forget high-tech. What financial advisors are looking for in computer work stations these days is smooth tech, the ability to simplify the complex and sometimes mind-numbing tasks that are part of their daily lives. mark for My Articles similar articles
Registered Rep.
December 4, 2012
Megan Leonhardt
(No) Experience Necessary When it comes to being a financial advisor, the more experience -- the more years you have on you -- the better, right? Not quite. A new study shows that firms should be cautious when bringing aboard advisors heavy on experience. mark for My Articles similar articles
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. mark for My Articles similar articles
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. mark for My Articles similar articles