IE - Investment Executive

In this Special Feature

• Key themes of the 2012 Brokerage Report Card

  Pablo Fuchs, senior editor of Investment Executive, and Olivia Li, staff writer, discuss the results of the 2012 survey. Bigger books of business and improved advisor compensation haven’t translated into better ratings for dealers. The verdict: Firms still have some work to do. They spoke at the TSX Broadcast Centre in Toronto.

  Industry News  - April 30, 2012 at 14:30

• Fortunes begin to diverge

  Advisors are seeing their books of business and pay climb back up - although not yet to pre-recessionary highs. However, the ratings they bestowed upon their firms are a mixed bag

  Brokerage Report Card  - April 26, 2012 at 12:00

• 2012 Brokerage Report Card main chart

  How advisors rated their firms

  Brokerage Report Card  - April 26, 2012 at 12:10

• A beacon of hope for advisors

  Books of business and pay levels are up, and it appears to be the top-producing advisors who are driving the industry's growth this year. Those are encouraging signs at a time when the economy and stock markets are still in flux

  Brokerage Report Card  - April 26, 2012 at 12:00

• Four firms take their licks

  Advisors at two bank-owned investment dealers and two national independents say their firms have some work to do

  Brokerage Report Card  - April 26, 2012 at 12:00

• Two-way communication a priority

  Brokerage Report Card  - April 26, 2012 at 12:00

• Compensation plans need work

  The good news: Advisors earned more this past year. The bad news: They are shouldering ever-increasing operational costs while reward and bonus targets are set too high to be achievable

  Brokerage Report Card  - April 26, 2012 at 12:00

• Comprehensive support is crucial

  When it comes to the ever-important areas related to wealth-management support services, advisors say the help of experienced and knowledgeable staff is very much needed when dealing with clients approaching retirement

  Brokerage Report Card  - April 26, 2012 at 12:00

• Firms struggle with mobile technology

  Nine of the 11 firms that provide support for mobile technology saw their ratings fall this year, while the remaining two brokerages saw their ratings climb due to solid support for remote access to advisors' desktops

  Brokerage Report Card  - April 26, 2012 at 12:00

• Firms dip their toes into social media

  Following the release of IIROC's final guidelines on the use of social media late last year, firms of all stripes are in various stages of exploring how social media can be harnessed as a communication tool between advisors and their clients

  Brokerage Report Card  - April 26, 2012 at 12:00

• Advisors focus on succession

  Although many survey respondents are not ready to retire, they know it is a reality they must face

  Brokerage Report Card  - April 26, 2012 at 12:00

• A look at three types of managers

  Advisors surveyed this year say branch managers can be "good," "bad" or "ugly"

  Brokerage Report Card  - April 26, 2012 at 12:00