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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.  |
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 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.  |
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.  |
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  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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.  |
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?  |
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.  |
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?  |
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.  |
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  |
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.  |
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.  |
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 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?  |
Registered Rep. September 30, 2013 Megan Leonhardt |
Wirehouse Evolution Far from a dying model, the big brokerages are changing their game.  |
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.  |
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.  |
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.  |
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.  |
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. 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.  |
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.  |
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 November 1, 2012 Elson et al. |
Hot Topics Rosy outlook for advisory firms... Changes coming for ce credit... Retirement sweet spot...  |
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.  |
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. 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.  |
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.  |
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.  |
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 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.  |
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.  |
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.  |
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.  |
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.  |