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Advisors’ Report Card 2023 main chart

How advisors across the financial industry rated their channels, based on average firm results

How we did it: Advisors’ Report Card 2023

Methodology for the 2023 Report Card series research

  • By: Katie Keir
  • October 16, 2023 October 13, 2023
  • 00:51
A see through piggy bank with money coins

Hurdles for retired, decumulating clients across the industry

Just as older clients' needs vary, so too do advisors' techniques and priorities across each industry channel

Advisors prize business freedom, lament back-office support

Firms in the brokerage channel were rated highest in most Report Card categories, but advisors still cited ways to improve

  • By: Katie Keir
  • October 16, 2023 October 13, 2023
  • 00:26
challenge-obstacle

Book growth fails to boost bottom line

Increases in AUM and client rosters were uneven across the brokerage, dealer and retail bank channels

Money Growth Flat design illustration Business person watering money tree economic growth

Advisors unfazed by rocky conditions

Client mix and advisor tenure affect the difficulty of advising in a tough economy

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Technology still a sticking point

While brokerage firms’ digital tools and flexibility earned praise, technology generally garnered mixed reviews

  • By: Emily Fox
  • October 16, 2023 October 13, 2023
  • 00:13
woman texting

Advisors praise their compliance departments

Advisors becoming more dependent on support from compliance professionals

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Advisors sound off on financial planning

With the vast majority of advisors focused on planning, firms must continue investing in that area

Various symbols of ESG investment strategy

Advisors still lagging in ESG adoption

The debate about the benefits of responsible investing persists

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Advisors’ books continue to expand

Report Cards show financial advisors headed into the market volatility with a buffer

Dandelion coming out from brick pavement

Client-focused reforms more nuisance than challenge

Despite creating additional work for advisors, the new rules aren't affecting business processes significantly

Investment graphic flattens out

ETF usage plateaus among brokerage advisors

Mutual fund usage among dealer advisors remains high, but fell between 2021 and 2022

  • By: Katie Keir
  • October 11, 2022 October 6, 2022
  • 00:15
Two people shaking hands

Advisors stick to their values

Report Card series reveals advisors still value business freedom and strong leadership

  • By: Katie Keir
  • October 11, 2022 October 6, 2022
  • 00:10
Two people harvesting money from a tree

What advisors had to say about products

Maintaining shelf flexibility and offering adequate product information are key components

  • By: IE Staff
  • October 11, 2022 October 11, 2022
  • 00:09
Diverse group of coworkers meeting

Advisors laud firms’ diversity efforts

Survey respondents cite positive DE&I initiatives, but admit there's room for improvement

2022 Advisors Report Card. blurred data, low resolution

Advisors’ Report Card 2022 main chart

How advisors across the financial industry rated their segments on average

  • By: IE Staff
  • October 11, 2022 October 5, 2022
  • 00:05

How we did it: Advisors’ Report Card 2022

Methodology for the Advisors’ Report Card 2022

  • By: IE Staff
  • October 11, 2022 October 5, 2022
  • 00:00
nimble advisor

Firms must remain nimble to help advisors grow

Within a shifting industry, advisors valued solid support as well as proactive innovation

  • By: Katie Keir
  • October 12, 2021 October 6, 2022
  • 00:14
stock chart growth

Emphasis on financial planning grows

Advisors across the industry value planning tools and access to experts

How we did it: Advisors’ Report Card 2021

Our methodology explained

  • By: Katie Keir
  • October 12, 2021 October 20, 2021
  • 00:12
2021 Advisors' Report Card main chart blurred

Advisors’ Report Card 2021 main chart

Average ratings from advisors in each industry channel

  • By: IE Staff
  • October 12, 2021 October 4, 2021
  • 00:10
communication

Firms already acting on 2021 Report Card feedback

Some brokerages and dealer firms have taken steps to address areas such as back-office support and technology

  • By: Katie Keir
  • October 12, 2021 October 13, 2021
  • 00:10
Advisors capture

Advisors capture growth despite industry turmoil

Investment Executive's full Report Card series shows that book values and productivity have increased since 2019

advisor on top

Mutual funds remain paramount for dealer advisors

Meanwhile, equities and ETFs have gained portfolio share for brokerage advisors