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Financial Advisor October 2008 |
Advisor Emporium The latest news from six well known names in the investment management and advisory industry.  |
Investment Advisor June 1, 2011 James J. Green |
Agents of Change Envestnet has placed itself squarely at the crossroads of the major issues facing advisors. Its tools will help advisors tackle those issues, leading to growth for all.  |
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. August 7, 2014 Megan Leonhardt |
Ten Charts That Explain What Advisors Think of Hedge Funds Overwhelmingly, advisors consider hedge funds an alternative investment, increasingly a generic catch-all term for anything that is not a mainstream liquid security.  |
Financial Advisor August 2006 Raymond Fazzi |
Custodians Duel Over New Services Competition in the fee-based advisory field and the pressure to grow assets and operations is not only forcing changes upon advisors, but also the custodians who serve them.  |
Financial Advisor February 2004 Sydney LeBlanc |
Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms.  |
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. May 1, 2005 |
13 Percent Percentage of advisors who say they have switched to a wealth management model.  |
Registered Rep. September 30, 2009 David A. Geracioti |
Do Retail Financial Advisors Have an "Unhealthy Focus?" The Financial Times suggests the way financial products and services are sold need to be completely overhauled.  |
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. January 8, 2010 Halah Touryalai |
A Hedge Fund Resurgence There is legislation in Congress that would require hedge funds to make greater disclosures about the details of their operations. The increased regulation coupled with a recent uptick in hedge fund performance will likely entice some advisors to put their clients back into hedge funds.  |
Financial Advisor May 2011 Eric Rasmussen |
Busting Into Trusts Personal trust assets are moving out of the longstanding grip of bank trust departments. It's the independent RIAs' game to lose if they don't step up.  |
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 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 Advisor March 2012 Bernie Clark |
The Changing Affluent Investor Advisors must prepare for new affluent clients and the changes, attitudes and expectations they will bring with them.  |
Investment Advisor March 2009 James J. Green |
Catching Up With... Catching Up With Tom Bradley  |
On Wall Street June 1, 2010 |
Five Questions With Gurinder Ahluwalia The President/CEO of Genworth Financial Wealth Management talks about his company's goals and services.  |
Financial Planning January 1, 2012 Donna Mitchell |
Other Assets Wealth management firms have started adding alternative investments to their menu of choices to meet the desire of clients to reduce volatility in their portfolios.  |
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 May 2010 Alan Lavine |
Watch Your Investment Tail Advisors are using options to insure portfolios against "once in a lifetime" losses.  |
Investment Advisor August 2007 Maya Ivanova |
A Victim of Success? A recent survey of registered investment advisors reports that while advisors recognize that marketing is a key component of their business, few devote enough time to this vital activity.  |
Financial Planning September 1, 2008 Stacy Schultz |
Are the Times Changing? A new study shows that 75% of advisors say they provide a written plan for their clients' retirement planning. Read on to see more specifically what they are doing.  |
Investment Advisor October 2008 Maya Ivanova |
War Room How the most successful advisory firms are mitigating risk on two fronts: for their clients, and for their own businesses.  |
Registered Rep. February 17, 2012 Jerry Gleeson |
Envestnet To Buy RIA Software Provider Tamarac Envestnet is looking for a larger share of the RIA market with its latest acquisition.  |
Investment Advisor October 2009 James J. Green |
Fidelity Cuts Costs on Technology, Trading Fidelity Institutional announced a range of price cuts and time-bounded fee waivers for advisors who custody client assets at Fidelity.  |
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 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.  |
Investment Advisor March 2009 Melanie Waddell |
Cover Story: Patience In the quest to generate retirement income for their clients, many advisors relied on their investing-for-accumulation roots, and therefore were not focused on retirement income planning.  |
Registered Rep. September 10, 2009 David A. Geracioti |
Fido's RIA Unit Cuts Fees The average financial advisor has taken a big hit in production and therefore net income. But RIA custodians are turning that into something of a marketing tool.  |
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. 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.  |
Investment Advisor January 2007 Bob Clark |
The Trust Threat Financial advisors need to rethink adding trust services to their offerings.  |
Registered Rep. August 26, 2011 Jerry Gleeson |
Schwab Apologizes Over Sales Pitch to Advisor Clients Schwab found itself apologizing for violating its own policy of pitching portfolio products to retirement plan sponsors who were clients of retail financial advisors and turnkey asset management programs that have custodial relations with the firm.  |
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.  |
Investment Advisor June 2008 Melanie Waddell |
Retirement Planning at Envestnet The former president of Ibbotson plans 401(k) advice platform for Envestnet Asset Management's newly established Retirement Services Group.  |
Registered Rep. June 1, 2005 Kristen French |
Fido Attacks! Long a distant second to Charles Schwab in the lucrative business of serving financial advisors, Fidelity is making an aggressive push to close that gap. And some advisors are taking notice.  |
Registered Rep. September 24, 2014 Jerry Gleeson |
Custodian Castoffs Scottrade won't comment on the number of advisors it culled last summer, but other custodians say they've seen a sharp increase in the number of former Scottrade advisors who are now looking for a new home.  |
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 May 2007 Eric Rasmussen |
What's New At The Custodian Custodians are continuing to offer new services for fee-only planners in their efforts to woo RIAs.  |
Financial Advisor November 2011 Jerilyn Klein Bier |
Best-Laid Plans Advisors who've built substantial 401(k) practices share their strategies.  |
Registered Rep. September 24, 2015 |
The 2015 Wealth Management Industry Awards Winners Companies like Charles, Schwab, Fidelity, and Betterment are profiled for their achievements in financial services.  |
On Wall Street September 1, 2010 Aarti N. Maharaj |
Five Questions With Amy Strong Joining Financial Research Corp. as a research analyst in 2007, she examines the state of the industry and marketing effectiveness.  |
Financial Planning March 1, 2011 Donna Mitchell |
Hot Topics M&A activity peaked in 2010... Advisors in touch... Untapped business serving retiring boomers...  |
Financial Advisor November 2010 Alan Lavine |
New Opportunities With 401(k)s Participants are making asset allocation mistakes, even though most plans offer a good selection of investment options.  |
On Wall Street January 1, 2010 Matthew Leung |
Getting Retirement Portfolios Back on Track Previous assumptions about asset allocation, diversification and the appropriate levels of risk in portfolios are being challenged.  |
Financial Planning July 1, 2010 Marion Asnes |
Envestnet's Fiduciary Opportunity Bill Crager, president of Envestnet, is not going to wait for Washington to figure out the fate of the fiduciary standard. The way he sees it, the market has already spoken.  |
Registered Rep. October 29, 2009 Kristen French |
RJFS Raises RIA minimums, LPL Pulls Past RJ in RIA Assets Raymond James is raising minimums for new RIAs who want to custody assets on its RJFS-IAD platform from $30 million to $50 million.  |
Investment Advisor September 2010 Thomas D. Giachetti |
The Compliance Coach: Will the SEC Ever Learn? Don't Count On It Get ready for new custody and ADV rules, and the $100 million threshold.  |
Financial Advisor February 2012 |
Social Media Losing Some Appeal With Financial Advisors Despite the hype about the benefits social media can bring to financial advisors, most advisors don't find it very useful in their businesses.  |
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.  |