Breakaway Broker Trend Accelerates
By Kate McBrideThe migration of broker teams from large brokerage firms to the independent model of registered investment advisor (RIA), or independent broker/dealer (B/D), continues.
April 05, 2010
My New Client Portal's Just the Ticket During Quarterly Client ReviewsWith the passing of the first quarter of 2010, it's time for the portfolio review process. We will be contacting clients, scheduling meetings, and reporting...
April 01, 2010
Catching Up With...On March 15, Fidelity Investments announced the creation of a new "client experience" organization designed to meet the evolving demands of Fidelity's advisor clients across...
April 01, 2010
Stock Brokers Bid for ETF ClientsOnline brokers are bidding for a greater share of online customer trades. And in some cases, they're taking some very aggressive measures. During the first quarter,...
April 01, 2010
The Roth WaveTax advisors believe a Roth IRA conversion would benefit 43% of their clients this year, a big increase from 13% last year, according to a...
April 01, 2010
LPL Financial Upbeat On FA Recruiting in '10This year, LPL Financial aims to build on its recruiting success in 2009 after "experiencing record levels of recruiting growth," said Bill Morrissey, executive vice...
March 31, 2010
HighTower Adds Managing Director and COORIA firm bolsters West Coast operations and fills new home office position
March 29, 2010
There Is No Perfect Custodian, but . . .This past week I received a couple of phone calls from advisors who were seeking an unbiased opinion about my custodian, TradePMR. Although I've written...