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Registered Rep. July 7, 2011 John Aidan Byrne |
Good On-boarding A Key Competitive Edge For Wealth Management Firms Good on-boarding can be a selling point with advisors and their clients, who may be convinced to give the firm a larger share of their assets, while poor on-boarding efforts can cause clients to pull their business.  |
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 June 1, 2013 Braswell & Konish |
Leaders: Ranking the Top Wirehouses and Regional Broker-Dealers This year, the leading wirehouse and regional wealth management firms took the steps necessary to ensure they reap rewards as markets hit new highs.  |
Registered Rep. April 7, 2011 John Aidan Byrne |
Report : Wealth Management Firms To Jack Up CRM Spend Wealth management firms are expected to invest heavily in customer relationship management technology over the next three years, according to a new report from Aite Group.  |
Financial Advisor May 2012 David Lawrence |
Missed Opportunity Most advisors under utilize the technology offered by their broker-dealer or custodian. Why?  |
Registered Rep. December 21, 2012 Megan Leonhardt |
Looking Back, 2012 A Mixed Bag For Wirehouses Assets mostly were up, but advisors are on the move.  |
Financial Advisor March 2012 |
Keeping Up In An Evolving Space Scalability. Profit pressures. Self-directed investing. Increased use of mobile applications. These are some of the trends to watch in the financial advisor industry in coming months.  |
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.  |
Financial Planning November 1, 2012 Elson et al. |
Hot Topics Rosy outlook for advisory firms... Changes coming for ce credit... Retirement sweet spot...  |
Financial Advisor March 2008 Joel Bruckenstein |
Kicking It Up A Notch Tech upgrades at some of the larger independent broker-dealers.  |
On Wall Street August 1, 2011 Lorie Konish |
Expect a New Wave of Advisor Movement Even with rumblings that Wall Street firms could brace for cost cuts and layoffs this summer, competition for top wealth management talent is poised to remain strong.  |
Registered Rep. March 9, 2011 Kristen French |
Morgan Stanley Cutting 200-300 FAs And Trainees The firm's wealth management division, Morgan Stanley Smith Barney, should end the quarter with about 17,800 advisors, still the largest brokerage force in the U.S. by headcount.  |
Registered Rep. July 26, 2011 John Aidan Byrne |
Online Brokerages Still Grabbing Market Share From Wirehouses Online brokerages continue to take market share from the wirehouses, according to a new report.  |
Investment Advisor September 2006 Lauren Barack |
Going Mobile To compete, broker/dealers are improving their technology platforms, with an eye on mobility.  |
On Wall Street January 1, 2011 Lorie Konish |
Time To Move Past Dark Days After a year filled with slow overall growth and shifting hierarchy with the integration of big names like Bank of America Merrill Lynch and Morgan Stanley Smith Barney, the industry should be ready with more efficient business models and potentially higher profits in the coming year.  |
Investment Advisor November 2007 Lauren Barack |
Give Them What They Want Understanding they can't offer every tool to every advisor, custodians are nevertheless making sure to remain flexible enough to meet advisors' ever changing demands.  |
Registered Rep. August 29, 2010 Jerry Gleeson |
Merrill, MSSB Invest in New Technology Wirehouse firms continue to upgrade their advisor workstation technology following the recent consolidation among firms.  |
Registered Rep. May 31, 2013 Megan Leonhardt |
Sizing Up the Street In the latest earnings cycle, here's how the wirehouses stacked up.  |
On Wall Street August 1, 2010 Aarti N. Maharaj |
The Wirehouse Way While the lure of independence has traditionally been viewed as the ultimate siren song for many advisors, many in the industry are finding good reasons to stay with the big companies. And it's not all about the money.  |
Bank Technology News March 2011 John Adams |
Self Service With An Edge When it comes to attracting wealth management clients, the new focus is entirely on control - specifically giving control to customers via electronic channels.  |
On Wall Street November 1, 2010 Michelle Lodge |
Advisors List Their Biggest Challenges Complexity isn't the biggest challenge facing advisors. A whopping 86% said they viewed consumers' lack of trust in the industry as their biggest barrier to a thriving business.  |
Registered Rep. March 28, 2012 Charles Paikert |
Branch Managers Are Key For Aggregator Growth There is growing demand for their talents in one corner of the wealth management universe: newly formed aggregators who are busy buying up firms and opening offices across the country.  |
On Wall Street November 1, 2012 |
Who's News: Michael Maghini Moves to Bank of America Hirings this month include Michael Maghini moving to Bank of America Merrill Lynch from Morgan Stanley; Mark Rabbe to RBC from UBS; Al Weaver and John Worcester to Ameriprise from Morgan Stanley.  |
Wall Street & Technology October 26, 2005 |
Missed Opportunity Brokerages are missing a cost-effective opportunity to gain new customers and are lagging behind their banking peers by failing to offer online account opening services, according to a study.  |
On Wall Street February 1, 2011 Lorie Konish |
Will Advisors' Game Of Musical Chairs End Soon? The market crisis that began several years prompted a frantic game of musical chairs as firms and advisors sought their most competitive matches.  |
Registered Rep. December 3, 2013 Megan Leonhardt |
Out From Under A rising market lifts many spirits, including advisor satisfaction with the firm that employs them.  |
On Wall Street June 1, 2011 |
The Leaders Speak The most influential leaders in wealth management today expound on evolution, revolution, moving the debate past wirehouse versus independent, and more.  |
Registered Rep. July 21, 2011 Kristen French |
Morgan Stanley Plans More Cost-cutting in Retail Brokerage; Integration on Target, Net Asset Flows Up Morgan Stanley financial advisors should expect more cost-cutting in the global wealth management division in coming quarters.  |
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  |
Registered Rep. December 1, 2011 Kristen French |
Broker Report Card 2011: It's Getting Better All the Time Registered Rep.'s 21st annual Broker Report Cards showed advisor satisfaction ratings creeping higher this year across the board -- on everything from compensation and benefits, compliance support and sales support to products.  |
Financial Advisor September 2011 |
Frontline News Laboring Over A Fiduciary Standard... Advisory/Brokerage Industry Still Climbing Out Of Meltdown Wreckage... Compliance Hot Spots... etc.  |
Financial Advisor May 2006 Tracey Longo |
What Have You Done For Me Lately? The race is on among independent broker-dealers to recruit more top fee-based advisors.  |
On Wall Street March 1, 2010 Helen Kearney |
Compensation 2010 Your definitive guide to the changes in advisor compensation across the industry.  |
Financial Advisor March 2012 |
Frontline News Financial Advisor news: Building A Firm In Tough Economic Times... Keeping Up In An Evolving Space... Go South, Young Man... Wirehouses Still King Of The Hill...  |
Registered Rep. April 13, 2012 Kristen French |
Wells Fargo Wealth Management Business Posts Stagnant First Quarter Wells Fargo's wealth management business reported no growth in assets and a slight decline in advisors for the first quarter versus the same time period a year ago.  |
On Wall Street February 1, 2010 Frances A. McMorris |
When Firms Collide: Is Culture Clash Inevitable? Merged companies have been integrated and new executives have taken up their posts, but everyone is still trying to adjust.  |
Financial Planning October 1, 2012 Joel Bruckenstein |
Forms in the Cloud: Laser App Software Fills in Form Filling Technology Nicely The firm's software does just one thing, but it does it extremely well: It helps financial service professionals fill out forms and process them. Now it has introduced Laser App Anywhere, its next-generation product.  |
Investment Advisor June 2007 Lauren Barack |
Streamlining Broker/dealers are aiming for a one-click model for their technology platforms.  |
Investment Advisor February 2010 Lewis Schiff |
The Affluentialist: Trends in Client Communication The pressure for greater efficiency and convenience is propelling advisors to try new means of communication. Not surprisingly, most new channels appear with new technologies or updated applications of old techniques.  |
Registered Rep. July 21, 2010 Jerry Gleeson |
Assets, Advisors Decline at Morgan Stanley Smith Barney in Q2 Morgan Stanley is making continued progress on its integration with Smith Barney, but declines in assets and headcount suggest it may be feeling the pain of client and advisor departures.  |
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.  |
Registered Rep. June 6, 2011 John Aidan Byrne |
Wall Street Brokerages Set For More Advisor Defections? Switching for big signing bonuses spiked during the recent financial crisis when Wall Street's biggest brokerages merged or were acquired. But it died down a bit after Merrill Lynch and Morgan Stanley offered their financial advisors retention packages.  |
Registered Rep. February 13, 2012 Jerry Gleeson |
Raymond James Ramping Up Its RIA with New Leadership, Investment The new president, Bill Van Law, said the company plans to make a significant investment in the business in the months ahead.  |
On Wall Street March 1, 2012 Lorie Konish |
Go,Teams! When Hilliard Lyons introduced its current team-based award program in its compensation program five years ago, it led to what Executive Vice President Darryl Metzger now calls an "A-HA" moment for the firm.  |
Financial Advisor June 2011 Bruce W. Fraser |
Rebuilding Trust - Part 2 Six leaders in the wealth management continue their discussion of the advisory industry and how new rules and regulations will impact it.  |
Financial Advisor November 2011 |
Frontline News Managing volatility in unstable markets... Patent -- and potential hassles -- pending over wealthcare case... Bank on it (not)...  |
Financial Advisor March 2011 Joel P. Bruckenstein |
The Commonwealth Way This independent broker-dealer has made great strides in integrating technology systems into its advisory platform.  |
On Wall Street September 1, 2011 Lorie Konish |
Morgan Stanley Smith Barney's $1 Trillion Target Morgan Stanley Smith Barney focuses on growing its Consulting Group division, where it aims to double the assets in the managed account group to more than $1 trillion within the next five years.  |
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.  |
Registered Rep. April 21, 2010 Jerry Gleeson |
Morgan Stanley Profits Rise, Advisor Count Flat Morgan Stanley on Wednesday reported higher-than-expected revenues and profits in the first quarter, lifted by its acquisition last spring of Smith Barney and by higher fixed income.  |