Results for "compensation and staffing"

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The top RIAs pose strong competition to large brokerages

May 31, 2015

When Veritable founder Michael Stolper was working at Kidder Peabody & Co. in the early 1980s, he found that sometimes the best advice for clients was to do nothing. But that wasn't very lucrative, since his income depended on commissions. So...

The continuing growth of the RIA channel, by the numbers

May 31, 2015

Market appreciation alone doesn't explain the continuing growth of the RIA channel. Overall, there was a 21% increase in the total assets under management of all included firms in the InvestmentNews RIA Data Center, from $1.1 trillion at the...

InvestmentNews Research, BlackRock launch new study of “Elite” RIAs

May 28, 2015

New York, May 28, 2015 – With the business of providing financial advice fast evolving – presenting advisers with new service opportunities as well as urgent practice challenges – InvestmentNews Research, in partnership with BlackRock...

The top 10 reasons to become a financial adviser

May 28, 2015

With over 40 years of combined experience working with veterans of the financial services industry, our team knows all of the benefits a career path as a financial adviser or financial planner can bring. And while speaking to advisers who absolutely...

Attrition and breakaways have shrunk head counts at wirehouses

May 17, 2015

When Morgan Stanley bought Smith Barney from Citigroup Inc. in 2009, it created the largest brokerage force in the industry with more than 20,000 of what the company referred to in a press release as “high-quality” financial advisers. The...

How the biggest independent broker-dealer networks stack up

May 1, 2015

After looking at the independent broker-dealers with the most producing reps and the biggest year-over-year gains in assets and revenue in 2014, attention now shifts to the industry's big networks and the various firms under their umbrellas....

Is adviser compensation rising in tandem with advisory firm revenues?

April 29, 2015

Our research studies have shown again and again that independent adviser compensation stacks up well against some of the best-paid professional careers. Two years ago, after the results were in from our 2013 InvestmentNews/Moss Adams Adviser...

The independent broker-dealers with the most female advisers

April 29, 2015

The data collected from 41 independent broker-dealers as part of InvestmentNews' Top Independent Broker-Dealers of 2015 special report sheds light on where the industry stands in its push to recruit more female advisers. The space is male-dominated,...

The latest ranking of independent broker-dealers by rep head count

April 28, 2015

Even if recruiting at independent broker-dealers has hit a wall, the industry still features a number of firms with expanding numbers of registered reps. Here's a snapshot of the number of reps at the biggest independent broker-dealers, including...

The independent broker-dealers that offer the highest average payouts

April 27, 2015

In 2014, independent broker-dealers enjoyed double-digit revenue increases, but adviser recruiting slowed considerably. While adviser movement may have decreased in 2014, average payouts remained robust at the industry's best-paying firms. We've...

Independent broker-dealer recruiting hits a wall

April 26, 2015

After a fruitful 2014, recruiting at independent broker-dealers has hit a wall, according to industry recruiters and executives at those firms. Increasing competition from fee-only custodians, a bull market in stocks and better succession plans...

Thinking about going independent? How to understand RIA options for your practice

April 22, 2015

The Registered Investment Adviser model continues to be an increasingly attractive option for independent advisers in today's marketplace. Cerulli predicts the appeal of the RIA and dually registered models to the industry's largest and most...

The right time to increase your firm's investment in staff and pay

April 16, 2015

The typical advisory firm spends 57% of its revenue on staffing and compensation. That accounts for over 70% of a firm's total expenses. When it comes to people, there is little room for error. It's no wonder, then, that some firms will push...

The 'why', 'why not', and 'how' of financial adviser succession planning

April 13, 2015

As I watched episode 3, I found myself pacing, and mixing in the occasional fist pump. I can't contain my enthusiasm when it comes to this topic, or this series. In this episode, we are treated to the consultants giving their analysis. Greg...

Advisers can't live by AUM fees alone

April 12, 2015

It's time for financial advisers to rethink the AUM fee — fast. Charging a percentage — usually 1% — of assets under management has long been considered the most ethical, and profitable, way to get paid for delivering financial planning...

Getting your firm's employees to perform is about more than just compensation

April 10, 2015

The financial advisory industry continues to grow and mature in management practices, but some firms are accelerating faster than others. These firms have advanced beyond leveraging staff to service clients and are tackling succession planning...

Wirehouses still attracting adviser talent

April 8, 2015

Despite the growing list of options for advisers who want to break away from the wirehouses, the big four are holding their ground in the recruiting war for veteran advisers and account for the majority of the deals in the industry. Those who...

Brokerage executives enjoying steadily increasing payouts

April 5, 2015

It's a good time to be a brokerage executive. As markets rise and wealth management becomes the golden child at many of the major financial services firms, these executives have been awarded steadily increasing payouts, some of which have doubled...

Advisory fees show signs of a rebound

April 5, 2015

Fee-based pricing for financial advice is on an upswing after years of downward pressure in the industry — from cheaper investment products to low-cost robo-advisers. Fees charged on assets under management even fell below the standard marker...

Fired $1.3B Merrill broker speaks out

April 2, 2015

Thomas Buck, a 33-year veteran of Merrill Lynch who was fired last month, said he never saw it coming. He arrived at the office at 8 o'clock on March 4 for what he says he thought would be a routine meeting with local and regional managers....

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