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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.

May 20, 2016

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.

  • May 20, 2016 December 15, 2017
  • 08:30

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

  • May 19, 2016 January 22, 2018
  • 23:02

Account statements fail to inspire

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

  • May 19, 2016 May 19, 2016
  • 23:00

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

  • May 19, 2016 May 19, 2016
  • 23:00

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

  • May 19, 2016 May 19, 2016
  • 23:00

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

  • May 19, 2016 May 19, 2016
  • 23:00

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

  • May 19, 2016 May 19, 2016
  • 23:00

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

  • May 19, 2016 January 19, 2018
  • 23:00

Shifting fortunes for four firms

Acquisition wrecks havoc on ratings

  • May 19, 2016 May 19, 2016
  • 23:00

Firms make efforts to foster culture

For many financial advisors surveyed for this year’s Dealers’ Report Card, their firm’s corporate culture is difficult to define and embrace because of geographical distance. But a few firms manage to overcome this obstacle by giving priority to strong communication and focusing on relationships with their advisors. Many advisors pointed out that because their dealer’s […]

  • May 19, 2016 May 19, 2016
  • 23:00