2015 Broker-Dealers of the Year: The Leaders Speak
Behind the scenes and in front of the camera, the leaders of the 2015 Broker-Dealers of the Year discuss the IBD industry and their own firms' value propositions.
‘Our Reputation Stands on Its Own’
One of your reps suddenly leaves, taking several HNW clients and disparaging your firm. How do you mitigate reputational risk? How do you respond?
Where the Real Cybersecurity Risk Comes From
One of your vendors discloses they’ve suffered a data breach, potentially exposing your clients to losses. How do you respond?
How Much Do Robos Really Matter?
You’re considering adding a robo-advisor platform to help your reps expand efficient service to smaller client; how do you manage client and rep expectations about the new service?
From the Reps’ Mouths: The 2015 Broker-Dealers of the Year
In addition to rating their BDs, we asked reps an optional question: If you were to affiliate with another broker-dealer, which one would it be, and why?
2014 Broker-Dealers of the Year—Scenario 4: Women and the Aging Advisor
The Broker-Dealers of the Year explore how they bring in younger advisors and female advisors, and how the aging advisor workforce can be reversed.
2014 Broker-Dealers of the Year—Scenario 3: SEC Imposes Fiduciary Standard on Reps
How would top BDs handle this scenario? "In many ways," says Eric Schwartz of Cambridge, "we're in a fiduciary world already."
2014 Broker-Dealers of the Year—Scenario 2: Keeping Your Top Producers
How do broker-dealer leaders respond when a top producer asks for a product that the compliance deparment doesn’t like?
The 2012 Broker-Dealers of the Year: How You Picked Them; Where They Placed
Investment Advisor readers' choices for the 22nd annual Broker-Dealers of the Year: those BDs that placed second and third in the balloting, along with details on the voting process.
On 9/11 Anniversary, 2011 Broker-Dealer of the Year Honorees Reflect
The four men who won Investment Advisor's Broker-Dealer of the Year honors were asked to reflect on this solemn 10th anniversary of the Sept. 11, 2001, attacks.