Shifting fortunes for four firms
Acquisition wrecks havoc on ratings
- By: Rudy Mezzetta
- May 19, 2016 November 16, 2019
- 23:00
Latest news in Report Cards
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.…
- By: Megan Marrelli
- May 19, 2016 November 16, 2019
- 23:00
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…
- By: James Langton
- May 19, 2016 November 16, 2019
- 23:00
Dealers’ Report Card 2016 main chart
How advisors rated their firms
- By: IE Staff
- May 19, 2016 June 15, 2021
- 23:00
Account statements fail to inspire
Many advisors hope the introduction of CRM2 will lead to clearer and better client account statements
- By: Tessie Sanci
- May 19, 2016 November 16, 2019
- 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
- By: Megan Harman
- May 19, 2016 November 16, 2019
- 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…
- By: Beatrice Paez
- May 19, 2016 November 16, 2019
- 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…
- By: Ahmad Hathout
- May 19, 2016 November 16, 2019
- 23:00
2016 Brokerage Report Card: Behind the numbers
- By: Pablo Fuchs
- April 25, 2016 November 9, 2019
- 09:30
Brokerage Report Card 2016: Editors discuss key results
Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, discuss the results of the 2016 Brokerage Report Card.
- By: Pablo Fuchs
- April 22, 2016 November 9, 2019
- 10:00
Some direction is needed
The brokerage business is going through profound change, and advisors are counting on their firms to help them navigate through the new twists and turns
- By: Fiona Collie
- April 21, 2016 November 9, 2019
- 23:01
Brokerage Report Card 2016 main chart
How advisors rated their firms
- By: IE Staff
- April 21, 2016 November 9, 2019
- 23:00
Social media is becoming a factor
As social media gains prominence as a marketing tool for advisors, access is more critical than ever. The firms that provide access to the online…
- By: Tessie Sanci
- April 21, 2016 November 9, 2019
- 23:00
Financial planning gains prominence
Advisors consider financial planning to be more important than ever, and more advisors are creating financial plans with their clients. However, challenges remain in getting…
- By: Megan Marrelli
- April 21, 2016 November 9, 2019
- 23:00
A greater priority for advisors
With strategic focus becoming more important for advisors, many are questioning their firm's efforts to attract and serve high net-worth clients while other advisors praise…
- By: Beatrice Paez
- April 21, 2016 November 9, 2019
- 23:00
The keys to success in the back office
Quick response times, consistency, reliability and a client- and advisor-focused approach by back office staff are critical
- By: Rudy Mezzetta
- April 21, 2016 November 9, 2019
- 23:00
Advisors relying on support
Firms' greater focus on operating within a fee-based compensation model makes the transition easier for advisors
- By: Megan Harman
- April 21, 2016 November 9, 2019
- 23:00
Changes to pay miff advisors
Firms have adjusted their pay structures to reward advisors with larger or faster-growing books at the expense of advisors with modest-sized books, many of whom…
- By: Rudy Mezzetta
- April 21, 2016 November 9, 2019
- 23:00
Robo-advisors not a cause for concern
The emergence of online financial services isn't a threat to most advisors' businesses because their clients prefer a personal touch
- By: Fiona Collie
- April 21, 2016 November 9, 2019
- 23:00
Firms ready to deal with seniors’ issues
More than 75% of advisors surveyed said their firms are prepared for the unique issues affecting this demographic
- By: Kat Shermack
- April 21, 2016 November 9, 2019
- 23:00
Advisors are holding their own
Assets under management have remained steady over the past year, ending a string of successive gains that advisors have enjoyed this decade, while productivity has…
- By: James Langton
- April 21, 2016 November 9, 2019
- 23:00
Regulators’ Report Card 2016: Regulatory trends
Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, discuss whether survey participants want to see a merger of the SROs and…
- By: Pablo Fuchs
- March 29, 2016 November 9, 2019
- 09:05
Regulators’ Report Card 2016: Editors discuss results
Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, outline the key findings of the 2016 Regulators’ Report Card. Ratings are a…
- By: Pablo Fuchs
- March 28, 2016 November 9, 2019
- 10:25
Audit process generates mixed views
There are conflicting opinions about regulators' auditors and the approach they take during the auditing process
- By: Ahmad Hathout
- March 27, 2016 November 11, 2019
- 23:00
Regulators’ responses getting better?
Although regulators usually provide quick responses to registrants, the replies are too cautious in the content they provide
- By: Fiona Collie
- March 27, 2016 November 11, 2019
- 23:00