Attention turns to financial planning
The percentage of advisors who create financial plans for clients and the percentage of clients with a financial plan are rising
- By: Rudy Mezzetta
- August 26, 2016 November 9, 2019
- 00:00
Latest news in Advisors’ Report Card
The challenge of compliance
As the regulatory environment in the financial services sector continues to evolve, keeping up with a steadily growing list of compliance responsibilities is a major…
- By: Megan Harman
- August 26, 2016 November 9, 2019
- 00:00
Facing a need for fresh blood
The average age of the financial advisors surveyed for Investment Executive's annual Report Card series has been rising over the course of this decade
- By: Kat Shermack
- August 26, 2016 November 9, 2019
- 00:00
Move to fees is accelerating
CRM2, with its focus on enhancing the investment costs to clients, is transforming advisors' traditional revenue model
- By: James Langton
- August 20, 2015 November 9, 2019
- 23:00
Are advisors ready for CRM2?
Most advisors say they already have transformed their businesses in anticipation of CRM2, but others say the new regulatory regime is bound to be disruptive
- By: Rudy Mezzetta
- August 20, 2015 November 9, 2019
- 23:00
A new landscape
Although advisors are continuing to see significant growth in their books of business, their practices are undergoing a seismic transformation as a result of new…
- By: Fiona Collie
- August 20, 2015 November 9, 2019
- 23:00
Communication is a key priority
Work remains to be done to improve firms' communication efforts with their advisors
- By: Tessie Sanci
- August 20, 2015 November 9, 2019
- 23:00
Firms recommended, but with caveats
A significant percentage of advisors recommended their firm, but a close look reveals that this usually comes with stipulations
- By: Fiona Collie
- August 20, 2015 November 9, 2019
- 23:00
Getting tech tools right
Technology is often a source of dissatisfaction, but some firms have found the right formula
- By: Joy Blenman
- August 20, 2015 November 9, 2019
- 23:00
How to establish a solid back office
Despite multiple complaints across the board, advisors with certain firms say that having strong relationships and competent and proactive staff are key to success with…
- By: Leah Golob
- August 20, 2015 November 9, 2019
- 23:00
Much hope for improvement
Advisors hope the new CRM2 reporting requirements will end their pervasive - and persistent - dissatisfaction with client account statements
- By: Jade Hemeon
- August 20, 2015 November 9, 2019
- 23:00
Continued growth in uncertain times
Advisors are focusing on building their businesses and growing their assets under management at a time when not only has recent economic and financial performance…
- By: James Langton
- August 20, 2015 November 9, 2019
- 23:00
A year of growth
Powered by surging stock markets, advisors see gains in key metrics
- By: James Langton
- August 21, 2014 October 31, 2019
- 23:00
Firms deliver, but need to improve
Advisors across all channels of the financial services sector are adamant that their firms are providing independence, a positive work environment and stability. Yet, these…
- By: Jacob Boon
- August 21, 2014 October 31, 2019
- 23:00
Managers make a difference
Advisors expect their branch managers to be supportive, knowledgeable and resourceful leaders who can be relied upon
- By: Clare O’Hara
- August 21, 2014 October 31, 2019
- 23:00
A mixed bag in ongoing training
Financial advisors across all channels of the financial services sector look to their firms to provide the necessary training to keep advisors’ knowledge and skills…
- By: Leah Golob
- August 21, 2014 October 31, 2019
- 23:00
Advisors connect with new tech
Support for mobile technology and for using social media rose in importance - and it's the younger advisors driving this trend
- By: Fiona Collie
- August 21, 2014 October 31, 2019
- 23:00
Rewards matter little to advisors
Not only is recognition a poor substitute for better pay, many advisors say, but it's just the top advisors who are rewarded
- By: Leah Golob
- August 21, 2014 October 31, 2019
- 23:00
Advisors ponder their succession
As the glut of baby-boomer advisors continues to get older, succession programs are becoming more and more important
- By: Aaron Broverman
- August 21, 2014 October 31, 2019
- 23:00
Bracing for major regulatory changes
For the most part, firms are on the ball in helping their advisors deal with the major regulatory changes that are taking place in the…
- By: Catherine Harris
- August 21, 2014 October 31, 2019
- 23:00
Reaching new heights
It's been a great year for advisors, as they are enjoying an all-time high in the average book of business while their firms continue to…
- By: Clare O’Hara
- August 21, 2014 October 31, 2019
- 23:00
Advisors thrilled with compliance
Once considered pariahs within financial services firms, compliance officers are now viewed as “partners” in doing business, who are “eager to help” and respond “immediately”
- By: Clare O’Hara
- August 22, 2013 October 31, 2019
- 23:00
It’s time for firms to listen up
Advisors of all stripes say that even though their firms are open to receiving advisors' feedback, their suggestions are seldom put into place - nor…
- By: Jeff Wimbush
- August 22, 2013 October 31, 2019
- 23:00
Making inroads
Firms are performing strongly in their approaches to diversity in the workplace
- By: Brent Jolly
- August 22, 2013 October 31, 2019
- 23:00
Half the financial planning battle won
Firms and their advisors have embraced financial planning, but it appears clients have not. Advisors cite the time and the complexity involved in preparing a…
- By: Justin Da Rosa
- August 22, 2013 October 31, 2019
- 23:00