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Industry Spotlight > Broker Dealers

The Constancy of Change

By Janet Levaux

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Advisors and their clients are doing more and more work online, as are the publications that support them. It simply makes good sense for business.

In the spirit of this transition, Research — which has been published for 38 years (many of them on a monthly basis) — is set to become a quarterly publication, starting in October.

Our online news reporting on the wirehouses and other employee firms will continue, along with our conference coverage, at ThinkAdvisor.com. Plus, I will be writing a monthly column on employee advisors for our sister publication, Investment Advisor, starting in August. In addition, ThinkAdvisor will begin sending out bimonthly Special Report electronic newsletters about the broker-dealers we cover, their business strategies and challenges, as well as the latest recruiting and retention news.

Despite all the shifts in the industry, the employee broker-dealers continue to help their advisors maintain the highest yearly fees and commissions, as well as assets under management, in the business. To stay ahead of the pack, top employee-advisor firms are investing heavily in technology, portfolio platforms, social media and other advisor-focused infrastructures.

To reflect the elite nature of the advisors we serve, the quarterly version of Research is set to be published as Research on Wealth. It aims to remain a trusted industry resource both online and in print — with an emphasis on trends in investment products, technology, retirement and practice management.

In the new Research on Wealth, we plan to collect opinions and to shed light on what top advisors really think about key industry trends and how that is influencing their professional choices and behavior. In addition, we will introduce new content, such as a Celebrating Success column to highlight artwork, wine and other collectibles of top advisors (and their high-net-worth clients), how these advisors are Giving Back to their communities and what the latest Tech Talk is for employee reps.

The July issue of Research features the work of Michael Finke and Ellen Uzelac, who discuss some complex and highly challenging issues facing seniors and their advisors. Finke shares advice on how to protect elderly clients from potential exploitation, while Uzelac relates her own insights into proactive planning and steps to take before the death of a spouse. In addition, Jane Wollman Rusoff shares the story of an advisor working with a billionaire client and what went wrong as the relationship changed, the client passed away and the surviving spouse took legal action against the advisor and broker-dealer, after questioning decisions made in her late husband’s account.

This issue also includes our yearly Master Limited Partnership Investing Guide. Along with remarks from our partnership sponsor, the Master Limited Partnership Association, we feature the opinions of three MLP and energy-industry experts, who generally agree that the sector has many bright spots ahead.

I believe the same is true for Research and our loyal readers. I look forward to making that journey as editor in chief of the evolving publication and thank Executive Editor Ken Silber for his valuable contributions to Research over the past eight years.

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