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2014 Brokerage Report Card

Advisors’ assets under management are up and firms are delivering on what matters most. But not all the results were rosy. Read what advisors are saying about their firms. From the May 2014 issue of Investment Executive newspaper.

May 5, 2014

2014 Brokerage Report Card: ScotiaMcLeod rewarded for improved technology

Alex Besharat of ScotiaMcLeod discusses new technology rollouts that led to the firm gaining a full point in three tech-related categories

  • May 5, 2014 January 20, 2018
  • 10:30

2014 Brokerage Report Card: Edward Jones scores increase in 25 of 32 categories

David Lane of Edward Jones in Canada explains the strategies that enabled Edward Jones to increase ratings in 25 of 32 categories

  • April 30, 2014 January 20, 2018
  • 07:55

2014 Brokerage Report Card: Unprecedented levels of prosperity

Pablo Fuchs, senior editor at Investment Executive, and Clare O’Hara, staff writer, discuss key findings from the 2014 Brokerage Report Card. They spoke at the TMX Broadcast Centre in Toronto.

  • April 25, 2014 December 15, 2017
  • 08:30

A year of notable changes

Assets under management are at an all-time high, and productivity has increased as well. But there are some concerns about the sustainability of these results and there are indications that major changes may be on the horizon

  • April 24, 2014 January 20, 2018
  • 23:00

A formula for success

Despite the different business models, growth in assets under management and smaller advisor paycheques, firms continue to please their advisors in the areas that matter most

  • April 24, 2014 January 20, 2018
  • 23:00

Wising up to succession planning

As advisors get older, they're paying more attention than ever to their exit strategies. And firms that received the highest performance ratings in this category offer advisors both a greater say in the process and flexibility

  • April 24, 2014 April 24, 2014
  • 23:00

Advisors turn focus to aging clients

As a glut of baby boomers enters retirement age, the support services advisors receive to help these clients deal with their unique issues in retirement is becoming ever more important to advisors' businesses

  • April 24, 2014 April 24, 2014
  • 23:00

Back office remains a big concern

Year after year, advisors say their firms fail to live up to expectations when it comes to their back-office departments - and this year is no different. Meanwhile, those firms rated highest have found a formula that works to please their advisors

  • April 24, 2014 April 24, 2014
  • 23:00

Firms, advisors readying for CRM 2

Advisors and their executives are on the same page when they say the pace of regulatory reform has been overwhelming. But only those firms that are taking proactive steps to help their advisors deal with these changes have been praised

  • April 24, 2014 April 24, 2014
  • 23:00

A tale of two brokerage worlds

Bank-owned investment dealers rule the roost when it comes to size and scope, but independent brokerages are praised for their ability to establish and maintain two-way communication with their advisors as well as for having an inclusive culture

  • April 24, 2014 April 24, 2014
  • 23:00