The Inner Game: Just Do ItNov 1, 2008,By Matt Oechsli In turbulent markets, take action with clients.... The Hybrid ApproachNov 1, 2008,By Halah Touryalai The hybrid channel—made up of advisors who have their Series 7 and are registered as investment advisors—is growing, and b/ds and clearing and custody firms are here to help... The State Of IndependenceNov 1, 2008
Independent broker/dealers and their reps have come a long way over the last few years. Track their progress... America’s Top 100 Independent AdvisorsNov 1, 2008
Name Firm (b/d) City Est. AUM in $MM Yrs. In Biz Business Description/Specialty 1 Kevin Myeroff NCA Financial Planners (Royal Alliance) Cleveland $2.650... Top 20 Independent Broker/DealersNov 1, 2008
Firm: Producing Reps Average Payout Recruiting Executive Clearing Firm Parent Co LPL FinancialSan Diego, Calif., (888) 250-2420www.joinlpl.com 11,089... Meet The IndiesNov 1, 2008
With so many independent b/ds in the industry, it’s not always easy to tell one from the next. In a continuing effort to help our readers become more familiar with their options, we’ve asked the heads of two independent b/ds to answer a few questions about their firms and themselves.... Morphing SMAsOct 1, 2008,By John Churchill SMA growth has slowed, a natural consequence of maturity... Small Business Advisor: Taming Health Insurance PremiumsOct 1, 2008,By Mollie Neal Now that open enrollment season for health insurance policy elections is almost here, it's an opportune time to help small-business clients loosen the chokehold of exorbitant premiums... Marketing: Blogger BrandingSep 1, 2008,By Tami Kamin-Meyer When 25-year-old Russell Bailyn embarked on his career as a wealth manager in New York City with Premier Financial Advisors three years ago, his older brothers thought he needed a marketing tool that would differentiate him from the pack.... The Inner GameSep 1, 2008,By Matt Oechsli Your affluent clients, and prospects, may be worth more than you think.... Are Fund Fees Excessive?Sep 1, 2008,By Stan Luxenberg Plaintiffs' lawyers periodically charge that mutual funds impose excessive fees. But costs in the industry have been declining steadily.... Tiptoeing Into Retail BrokerageSep 1, 2008,BY CHERYL MUNK Consumer banking powerhouse Bank of America is taking its time building out of its retail brokerage business.... A Seller's MarketSep 1, 2008,BY JOHN CHURCHILL Across the industry, one thing is for sure: The market for financial advisors is hot.... All in the FamilyJul 1, 2008,By Anne Field Having friends, family and acquaintances as clients can be a great gig—if you do it right.... Mission Personal PotentialJun 1, 2008,By Matt Oechsli Warren Buffett has said, I choose to work with every single person that I work with. That ends up being the most important factor. I don't interact with... A FALSE SENSE OF SECURITYMay 1, 2008,BY JOHN CHURCHILL Are closed-end fund preferred-auction securities safe? We consider CFPs to be the conservative's conservative security.... Variable Annuity Providers Cozy Up To RIAsMay 1, 2008,By Alan Lavine John Ritter is an unusual case, but he may also be a harbinger of things to come. A fee-only advisor with Ritter Daniher Financial Advisory, an RIA in... A Back Door To SuccessMay 1, 2008,By Matt Oechsli Let's take a contrarian viewpoint regarding success. Much has been written about the typical qualities required for success. (In fact, I covered those... Survivorship Life Back In FavorMay 1, 2008,By Alan Lavine Despite current laws that reduce the estate-tax bite, survivorship life insurance is making a comeback as an estate-planning tool among some advisors.... Making Success PersonalApr 1, 2008,By Matt Oechsli A few weeks ago I had one of those blinding glimpses of the obvious. It dawned on me that despite the grinding intensity with which some advisors focus... RBC's Buying SpreeMar 1, 2008,Halah Touryalai RBC Dain Rauscher continued its recent streak of acquisitions in February, announcing plans to acquire Ferris, Baker, Watts (FWB), a full-service broker/dealer... Across the PondMar 1, 2008,Halah Touryalai Deal making in the wealth-management space has been rampant lately, and some holding companies and individual RIAs are beginning to see opportunities... Ph.D. In Sales RequiredMar 1, 2008,By Matt Oechsli Something is wrong with this picture. Consider the following: When talking about the state of the financial advisory industry with many veteran advisors... A Goal Pit-StopFeb 1, 2008,By Matt Oechsli Business - purposeful activity. Plan - a method for achieving an end. Webster's New Collegiate Dictionary In the early months of a new year, I have always... No Gerontology for Us, But We'll Take Some More ETFs PleaseFeb 1, 2008,Halah Touryalai With 77 million baby boomers approaching retirement, advisors are surely looking for ways to win their business. One way? Financial gerontology. That's... |
Current Issue Dear Management, Thanks For Nothing.By Christina Mucciolo In our 18th annual Broker Report Card survey, wirehouse FAs say they are fed up with management ruining their excellent franchises and platforms. Will the great advisor diaspora begin? advertisement Recent NewsREP. RESEARCHadvertisement BOOKS
This reference book was updated for 2008 and now contains over 900 pages of information on essential financial concepts and wealth management strategies for your work with wealthy clients. The book not only contains brief summaries of each topic, but it also contains many useful diagrams and charts that can be used with clients when explaining difficult financial concepts. The information in this book meets current FINRA/NASD guidelines. Click here. Bookstore
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