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June 2024

Brokerage Report Card

Firms are investing in technology but also must consider advisor training

Many advisors question how effectively their suggestions are acted upon

Advisors worry about hacks to client data, but also about human error

Offering generic or limited practice-building tools can lead to displeased advisors

Support for both financial planning and succession planning by advisors remain areas of interest

Results were relatively consistent in this year's Report Card, but advisors at firms undergoing management shuffles expressed uncertainty

Methodology for the Brokerage Report Card 2024

Average AUM rose slightly while assets per household grew by 6%


Women in Capital Markets rebrands to reflect sector’s growing diversity and complexity

North American regulators exploring risks and opportunities

Identity validation and trust are at risk amid regulatory challenge

Changes to capital gains inclusion rate, AMT require updated strategy

Focus on Products

Geopolitical tensions, concerns over weak returns fuel shift away from the world’s second-largest economy

Comment & Insight

Case illustrates the risks of appointing multiple executors

Editorial: More political will must be exercised to get reforms across the finish line