Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Raymond James to Host Annual Women's Confab
By Janet LevauxMore than 100 female financial advisors across the firm's different channels will attend.
October 01, 2010
Past, Present, FutureThe year was 1980. Chrysler was rescued, CNN was launched, the Dow began the year at 824 and Investment Advisor published its first issue. Today, Chrysler...
October 01, 2010
Billion-Dollar Service"We are the world's best high-net-worth wealth advisory firm." That's the elevator speech of Eric Kramer, founder and principal of Crestone Capital Advisors LLC in Boulder,...
October 01, 2010
The Future of 12b-1 FeesOn July 21, 2010, the SEC voted to rescind Rule 12b-1 in its entirety and replace it with a new rule, Rule 12b-2. What does this...
October 01, 2010
Jewels in the CrownUnder the blazing summer sun, a long line of BMWs and Mercedes Benzes glide up outside the luxurious DLF Emporio mall in the Indian capital,...
October 01, 2010
A Decade of EvolutionThe RIA business has evolved significantly over the past decade. Many important influences are re-shaping the advisory business, even beyond the industry's response to the...
October 01, 2010
Using OPM to Grow AUMAdvisory businesses deploy two types of leverage to accelerate their growth: operating leverage, which builds off infrastructure, technology, and other people's labor (OPL); and financial...
October 01, 2010
Ready to Grow AgainIn 2009, revenues dropped 9.5% and operating profit shrank seven percentage points to an 11% margin for the typical independent advisory firm, according to the...