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Advisers face consolidation

May 16, 2005

CHICAGO - Over the next decade, about half of the top 1,100 financial advisory practices will consolidate into 25 to 50 megafirms, while the other half will continue as profitable niche players and specialists, according to a soon-to-be-released...

Schwab revises payout grid for branch brokers

May 9, 2005

SAN FRANCISCO - In a move that some analysts say pushes the envelope with regulators, Charles Schwab & Co. Inc. is revamping its strategy for paying its branch brokers. The San Francisco-based company has begun doling out large books of business...

MUTUAL FUND REPORT: Delaware targeting the management teams of other firms

May 9, 2005

NEW YORK - Delaware Investments is continuing to upgrade its money management capabilities by targeting management teams at other companies. Industry experts said that it is a strategy that has worked for other companies, but they caution that...

Gemini thrives by helping advisers launch funds

May 9, 2005

DETROIT - Michael Miola has spent much of the past 20 years proving that you don't have to be Fidelity Investments to start a mutual fund. As the chief executive of Gemini Fund Services LLC in Hauppauge, N.Y., he has made a career out of helping...

Fidelity's new mantra: Research, research

May 9, 2005

BOSTON - Facing lackluster performance and a more difficult environment for extracting information from public companies, Fidelity Investments plans to overhaul its stock research unit dramatically. By year's end, the Boston-based fund giant...

Goldman and Lehman downgraded by rivals

May 9, 2005

NEW YORK - Two top investment banks - The Goldman Sachs Group Inc. and Lehman Brothers Holdings Inc., both of New York - were downgraded by analysts of two rivals last Monday due to the potential impact of slower stock and bond trading. Morgan...

Move to extend reach could prove costly

May 9, 2005

NEW YORK - GunnAllen Financial Inc. is trying to broaden its reach and has made moves to make a mark in both retail brokerage and investment banking. However, its recent furious efforts to build the firm's number of affiliated registered representatives...

Advisers key as Piper enters wealth management

May 2, 2005

NEW YORK - Piper Jaffray & Co., a Midwest brokerage powerhouse, is betting that the success of its 866 financial advisers will bolster its new wealth management unit. The nine executives of the Minneapolis-based firm's new wealth management...

SEC broker rule wins support

May 2, 2005

WASHINGTON - Two fiduciary organizations support a controversial new regulation that exempts fee-based brokers from registering as investment advisers in some circumstances. In early April, a spinoff group of the Society of Fiduciary Advisors...

Investing platform specifically for HSAs uses Schwab products

May 2, 2005

NEW YORK - Recognizing that the medical-savings purpose of health savings accounts often requires a different investment approach than retirement and education savings accounts, Devenir LLC, a two-year-old broker-dealer, has developed an investment...

Top indie reps warm to turnkey platforms

May 2, 2005

NEW YORK - A year and a half ago, Christopher Jordan, an affiliated representative with National Planning Corp. of Santa Monica, Calif., began using a turnkey asset management platform for new clients. After shopping around, he chose AssetMark...

Adjusting to market volatility

May 2, 2005

NEW YORK - With stock market volatility expected to get worse before it gets better, some financial advisers and investment managers are starting to think more about risk. "We're reviewing our assumptions of risk and rate returns," said Keith...

Battle over Merrill rule still on, say FPA, NAPFA

April 25, 2005

DETROIT - With the dust still settling around the 117-page broker-dealer-exemption action that the Securities and Exchange Commission issued two weeks ago, the financial planning industry is already considering its next move. According to legal...

Raymond James criticizes SEC penalties

April 25, 2005

NEW YORK - Raymond James Financial Services Inc. fired back against the Securities and Exchange Commission last week in a continuing dispute that could cut into the firm's efforts to recruit top brokers. In a brief filed with the SEC, the St....

Tower Square's future a big question mark

April 25, 2005

NEW YORK - Two divergent points of view are emerging over the future of Tower Square Securities Inc., whose parent company, Travelers Life and Annuity Co., is in the middle of acquisition talks with MetLife Inc. of New York. Registered representatives...

Value-added programs of questionable value

April 25, 2005

NEW YORK - Value-added programs for broker-dealers and financial advisers, sponsored by mutual fund companies, require some serious rethinking, according to a new study. "There's a disconnect between what distributors are looking for and what...

New financial planning guide for disasters released

April 18, 2005

NEW YORK - Following a year that saw Florida battered by hurricanes, California devastated by mudslides and wildfires, and the Midwest damaged by tornadoes, financial planners have a new tool to help clients protect themselves fiscally and physically...

NASD: 12(b)-1 fees should be retained

April 18, 2005

WASHINGTON - NASD's mutual fund task force, in its second and final report to the Securities and Exchange Commission, said that 12(b)-1 fees should continue to be allowed, but with improved disclosure. However, in the report, which was sent...

Suitability screens for VAs are undergoing an overhaul

April 18, 2005

NEW YORK - Determining which clients should be offered variable annuities is gradually changing from art to science. This stems from concern over countering negative publicity and avoiding the costs of disclosure to prospects who may later turn...

Critics weigh in on SEC's point-of-sale proposal

April 11, 2005

WASHINGTON - NASD and the brokerage industry last week recommended that the Securities and Exchange Commission require that point-of-sale disclosures be made to mutual fund investors over the Internet. Washington-based NASD's recommendation...

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