Sep 3, 2010
By John Aidan Byrne
A father and his son are among four new financial advisers with a combined $363 million of client assets who have recently joined UBS Wealth Management Americas, a UBS spokesperson confirmed to Registered Rep....
Sep 2, 2010
By Stevie D. Conlon
Changes to cost-basis law will present challenges for the brokerage community....
Sep 1, 2010
By Halah Touryalai
When the 7 becomes more of a burden than a benefit....
Aug 31, 2010
By John Aidan Byrne
The brokerage unit of Swiss banking giant, UBS AG, is beefing up its alternative investments to meet growing demand for risk-reduction and portfolio diversification strategies, especially among its affluent clients....
Aug 30, 2010
By Halah Touryalai
In an effort to ramp up its ETF offerings, Charles Schwab announced today that it has acquired an ETF-focused money management company with nearly $4 billion in assets. Schwab paid $150 million in cash and stock for the company....
Aug 29, 2010
By Jerry Gleeson
Wirehouse firms continue to upgrade their advisor workstation technology following the recent consolidation among firms. ...
Aug 26, 2010
By John Aidan Byrne
Merrill Lynch and Morgan Stanley Smith Barney are in a battle for the crown of retail brokerage. ...
Aug 25, 2010
By Halah Touryalai
Advisors seem more optimistic about the economy than their own clients, according to a Charles Schwab survey of 1,200 RIAs who manage a combined $234 billion in client assets. ...
Aug 25, 2010
By Jerry Gleeson
A new survey from Boston Consulting Group suggests that although women’s share of global wealth is growing, the service they get from financial advisors is not equal to that offered to men....
Aug 23, 2010
By Jerry Gleeson
Double-dipping doesn’t just refer to the threat of a new recession this year. Fidelity Investments says the number of loans and hardship withdrawals from 401(k)s is on the rise. ...
Aug 18, 2010
By Richard A. Behrendt, J.D., First Vice President, Senior Estate Planner, and Blake Panosh, First Vice President, Insurance and Annuity Manager, Robert W. Baird & Co.
Sometimes life insurance is better for clients than a Roth conversion. Here’s why. ...
Aug 18, 2010
By Jerry Gleeson
Registered Rep. is preparing its annual survey of sales assistants, and we’re seeking a few highly regarded sales associates who would be willing to be profiled in our October issue. ...
Aug 17, 2010
By Alan Lavine
There’s a reason Joan Rivers has joked that “The second wife gets the biggest diamond.” Financial headaches often come with a divorce and/or a second marriage. ...
Aug 16, 2010
By Brad Zigler
There’s very little real difference between the performance of mutual funds and ETPs in the commodity space, but there’s a whole lot of difference in the products’ risk characteristics....
Aug 13, 2010
By David A. Geracioti
The Charles Schwab Corp. gathers more client assets in July, but its stock sells off anyway....
Aug 12, 2010
By Jerry Gleeson
Want to keep maanaging assets your wealthy clients intend to give away? Learn the business of charitable giving....
Aug 11, 2010
By Stan Luxenberg
Investors have been pouring into exchange-traded funds. But not all ETFs are prospering, says Ron Rowland, president of Capital Cities Asset Management, a registered investment advisor in Austin, Texas. “Too many products have come to market, and not all of them will survive,” says Rowland. ...
Aug 10, 2010
By David A. Geracioti
Craig Callahan, president and founder, ICON Advisers, a value manager based in Denver, is bullish despite the recent 16 percent drop from the April highs to the early July lows. Recently, Registered Rep. editor sat down for lunch with Craig to get his—as usual—quant-influenced and very often contrarian views on the stock market. ...
Aug 9, 2010
By Susan Konig
Aug 6, 2010
By John Aidan Byrne
Financial advisors at UBS Wealth Management Americas closely watched this week as the U.S. brokerage rolled out plans to sell more of its own mortgage and lending products through its retail brokerage force. While the mortgage market has recently spelled trouble for Wall Street (think delinquent loans, toxic mortgaged-backed securities) UBS is calculating that the worst is over. Most UBS advisors, looking for added revenue in a competitive market, welcomed the UBS push....
Aug 5, 2010
By Jerry Gleeson
Breakaway wirehouse advisors never walk alone. A new report by Aite Group on the independence movement shows that reps from the big houses demonstrate superior client retention when they leave their employers. ...
Aug 4, 2010
By Anne Field
How to ask for client feedback and what to do when you get it. ...
Aug 3, 2010
By Mindy Diamond
Getting all of the members of a team to agree to switch firms together can be a major challenge....
Aug 2, 2010
By Anthony Riotto
Private bankers can make a great fit for retail brokerage houses, but some hurdles must be overcome first....
Jul 29, 2010
By Halah Touryalai
A total of 40 M&A deals, representing $30 billion in assets under management acquired, were completed in the RIA channel in the first half of 2010. That’s the strongest first half on record in terms of deal volume, according to Schwab Advisor Services which started tracking the data in 2003. There were 16 deals completed in the second quarter compared with 24 in the first quarter this year. ...
