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Stepping up on regulatory support

Advisors lauded firms that are proactive in informing them about changes in regulations and in training

How we did it

Finding the categories in which firms are succeeding and those in which firms could improve is at the heart of Investment Executive's (IE) Report Card…

Are robo-advisors a threat?

Financial advisors surveyed for Investment Executive's 2016 Report Card series don't consider the emergence of robo-advisors anything to fret about

Key traits of successful firms

How advisors feel about their firms overall is evident in the ratings for two specific categories

Advisors’ Report Card 2016 main chart

How advisors rated their firms

  • By: IE Staff
  • August 26, 2016 November 9, 2019
  • 00:00

Advisors thrive in time of instability

For the average advisor, AUM is up while client numbers were down, which points to rising productivity as measured by AUM/client household. And, on the…

Seniors’ issues take centre stage

As regulators increase their focus on elderly clients, financial services firms of all descriptions are working diligently to provide products, services and staff training suited…

  • By: Jade Hemeon
  • August 26, 2016 November 9, 2019
  • 00:00

Big changes ahead

Firms and advisors face challenges relating to major technological changes, demographic issues and increased regulatory oversight. How are they responding?

Newer technology’s increasing importance

Advisors are growing their businesses by embracing modern mobile technology and social media

Attention turns to financial planning

The percentage of advisors who create financial plans for clients and the percentage of clients with a financial plan are rising

The challenge of compliance

As the regulatory environment in the financial services sector continues to evolve, keeping up with a steadily growing list of compliance responsibilities is a major…

Facing a need for fresh blood

The average age of the financial advisors surveyed for Investment Executive's annual Report Card series has been rising over the course of this decade

Move to fees is accelerating

CRM2, with its focus on enhancing the investment costs to clients, is transforming advisors' traditional revenue model

Are advisors ready for CRM2?

Most advisors say they already have transformed their businesses in anticipation of CRM2, but others say the new regulatory regime is bound to be disruptive

A new landscape

Although advisors are continuing to see significant growth in their books of business, their practices are undergoing a seismic transformation as a result of new…

Communication is a key priority

Work remains to be done to improve firms' communication efforts with their advisors

Firms recommended, but with caveats

A significant percentage of advisors recommended their firm, but a close look reveals that this usually comes with stipulations

Getting tech tools right

Technology is often a source of dissatisfaction, but some firms have found the right formula

  • By: Joy Blenman
  • August 20, 2015 November 9, 2019
  • 23:00

How to establish a solid back office

Despite multiple complaints across the board, advisors with certain firms say that having strong relationships and competent and proactive staff are key to success with…

  • By: Leah Golob
  • August 20, 2015 November 9, 2019
  • 23:00

Much hope for improvement

Advisors hope the new CRM2 reporting requirements will end their pervasive - and persistent - dissatisfaction with client account statements

  • By: Jade Hemeon
  • August 20, 2015 November 9, 2019
  • 23:00

Continued growth in uncertain times

Advisors are focusing on building their businesses and growing their assets under management at a time when not only has recent economic and financial performance…

A year of growth

Powered by surging stock markets, advisors see gains in key metrics

Firms deliver, but need to improve

Advisors across all channels of the financial services sector are adamant that their firms are providing independence, a positive work environment and stability. Yet, these…

  • By: Jacob Boon
  • August 21, 2014 October 31, 2019
  • 23:00

Managers make a difference

Advisors expect their branch managers to be supportive, knowledgeable and resourceful leaders who can be relied upon

A mixed bag in ongoing training

Financial advisors across all channels of the financial services sector look to their firms to provide the necessary training to keep advisors’ knowledge and skills…

  • By: Leah Golob
  • August 21, 2014 October 31, 2019
  • 23:00