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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.  |
Investment Advisor July 2010 James J. Green |
Your Next Custodian Mike Kavanagh and his team at RBC Advisor Services enter the custody space with ambitious plans to attract big advisory firms.  |
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.  |
Registered Rep. May 5, 2008 |
LPL Financial Heats Up The RIA World The largest independent broker/dealer in the U.S. announced today it's going to launch an RIA custodian later this year, which will serve both hybrid and fee-only investment advisors who operate independent RIAs.  |
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.  |
Financial Planning September 1, 2008 Callahan & Malo |
Hybrid Chic A trend toward hybrids in the financial services industry is emerging. Increasingly, firms, advisors and brokers are establishing practices that manage both commission -- and fee-based businesses.  |
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. 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.  |
Financial Advisor July 2010 Bernie Clark |
Gunning For Growth RIA firms estimate that they'll see 15% revenue growth this year. An emphasis on efficiency will free principals to go after new business again.  |
Registered Rep. April 2, 2012 Diana Britton |
Concert Breaks Into the Hybrid Market Via LPL Partnership RIA aggregator Concert Advisor Services has launched a new hybrid platform, Concert Advisors, and partnered with independent broker/dealer LPL Financial to provide brokerage and custody services.  |
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 December 1, 2008 Brooke Southall |
RIA Power Registered investment advisory firms are bringing in more assets these days than are wirehouse brokerage firms.  |
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. August 1, 2005 Matt Barthel |
RIAs in Flux The pioneering ways of registered investment advisors (RIAs) are coming back to bite them. Once on the cutting edge of "holistic" financial planning and fee-based client relationships, RIAs are now just one of a pack of firms offering such services.  |
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. February 7, 2012 Diana Britton |
Are Regulations Killing the Hybrid Financial Advisor? Some advisors say new compliance and regulatory burdens under Dodd-Frank are making the hybrid model untenable.  |
Investment Advisor December 2009 James J. Green |
Catching Up With...Gary Gallagher A chat with LPL's executive VP strategic programs and support services.  |
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.  |
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. 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 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.  |
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.  |
Financial Planning March 1, 2010 Donna Mitchell |
Open Season NFP Securities says it will become the first independent broker-dealer to offer hybrid advisors a single platform with complete open architecture, empowering advisors to ally with any major custodian they choose.  |
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. October 15, 2009 Christina Mucciolo |
Schwab Q3 Earning Down, But the Race For RIA Assets Is Hot Charles Schwab reported a 34 percent drop in its third quarter earnings, the firm's third consecutive quarter of slowing earnings this year.  |
Financial Advisor January 2008 Tracey Longo |
Breakaway Brokers Despite being in business a shorter amount of time than the average advisor, breakaways have more assets under management, higher total revenues and a significantly higher growth rate.  |
Investment Advisor September 2009 Melanie Waddell |
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away.  |
Registered Rep. April 1, 2007 John Churchill |
Can Schwab's RIA Empire be Toppled? Last year the online-broker-turned-advice-provider extended an already massive lead over rivals Fidelity and TD Ameritrade in RIA asset gathering. Is there no challenger to Schwab's throne?  |
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.  |
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.  |
Investment Advisor March 2010 James J. Green |
RIA Growth at LPL The biggest independent broker/dealer is growing rapidly in another way: as a custodian for advisors that use LPL Financial as the custodian for their RIA activities.  |
Investment Advisor March 2006 Melanie Waddell |
The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.  |
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.  |
Investment Advisor January 2009 James J. Green |
Schwab Reorganizes; Fidelity Hires; Pershing Provides The three major custodians of RIA assets announce big executive changes and a new practice management program.  |
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.  |
Investment Advisor August 2008 Elizabeth D. Festa |
Springtime for Brokers Custodians and independent B/Ds roll out the carpet.  |
Financial Advisor September 2004 Dorothy Hinchcliff |
Here Come The Big Boys Fidelity and Pershing are competing for advisors' trust business.  |
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. March 1, 2006 Kristen French |
The Best of Both Worlds Advisors say the broker/dealer-RIA hybrid model gives them freedom to choose what products, services and fees are best for their clients.  |
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.  |
Investment Advisor July 2010 James J. Green |
RBC Is Not Pershing Key differences between RBC and PAS philosophies.  |
Investment Advisor August 2008 James J. Green |
Not Slowing Down LPL Financial is pushing its already big envelope under the leadership of Mark Casady  |
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. March 1, 2008 Christina Mucciolo |
What Can We Do For You? Clearing firms matter to advisors. In fact, one of the biggest deals in the independent b/d business last year hinged on whether the b/ds being sold could maintain their relationships with their old clearing firm.  |
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.  |
Registered Rep. April 7, 2011 Kristen French |
Switching To Independent Model Keeps Up Pace Migration to the independent financial advisor model -- independent b/ds and RIAs -- is likely to continue unabated in 2011.  |
Financial Advisor July 2009 Sherri Scordo |
Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors.  |
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?  |
Financial Advisor January 2006 Raymond Fazzi |
Declaration Of Independence More financial planners are leaving wirehouses to become fee-based RIAs.  |
Financial Advisor July 2011 Bernie Clark |
A Record Year For RIAs Discipline both on the expense and client care sides has created sound business practices for an evolving RIA industry.  |