Industry News

Dealers’ Report Card 2016

Mutual fund and full-service dealer firms are looking for ways to address the many challenges coming their way — much to the approval of financial advisors, who are seeing new highs in their books of business.
 

In this Special Feature

  • A happier bunch

    Reps are seeing new highs in their books of business. And advisors are rating their firms higher this year in a variety of categories, as the work their dealers are doing to improve is appreciated

    Dealers’ Report Card
  • Dealers’ Report Card 2016 main chart

    How advisors rated their firms

    Dealers’ Report Card
  • Dealers’ Report Card 2016: Editors discuss positive results

    Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, discuss the results of the 2016 Dealers’ Report Card, including growing books of business for advisors and improvement to firms’ ratings in a variety of categories.

    Industry News
  • Advisors experience solid growth

    Although dealer reps have added to their AUM and client totals, a closer look reveals that top performers are focusing on serving their high net-worth clients while the remaining 80% of advisors are growing their client rosters

    Dealers’ Report Card
  • Firms make efforts to foster culture

    Dealers’ Report Card
  • Shifting fortunes for four firms

    Acquisition wrecks havoc on ratings

    Dealers’ Report Card
  • Communication affects satisfaction

    Advisors are happier when their firms focus on informing advisors about what's important, including the firm's strategic focus, and provide the proper channels through which to communicate with leadership

    Dealers’ Report Card
  • Making headway on mobility

    Support for mobile technology is becoming more important for financial advisors, and firms are doing a better job of delivering the help advisors need to be productive when away from the office

    Dealers’ Report Card
  • Transition to fees requires support

    Regulatory initiatives such as CRM2 are forcing firms to create or improve their IT platforms - as well as increase the support and education for advisors making the transition to or operating within a fee-based practice

    Dealers’ Report Card
  • Right mix of training is needed

    With little consensus among advisors about what they need from their firms in ongoing training, the firms that are praised most offer the right blend of what advisors are looking for

    Dealers’ Report Card
  • Room for improvement in tech remains

    Although some firms are doing a better job on technology, the "satisfaction gap" in this category suggests much work is needed

    Dealers’ Report Card
  • Account statements fail to inspire

    Many advisors hope the introduction of CRM2 will lead to clearer and better client account statements

    Dealers’ Report Card