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Dealers’ Report Card 2017 main chart

How advisors rated their firms

  • By: IE Staff
  • May 31, 2017 November 16, 2019
  • 23:50

The struggle to keep up

Many advisors bemoan their firms not standing up to the regulators or offering enough support to deal with regulatory changes, and firms struggle to be…

Having a voice matters to advisors

Getting things right in handling advisors' feedback can be a challenge for firms even when they put significant efforts in place to accept and respond…

A magic formula for the back office

Having skilled, experienced and helpful staff with long tenure in the firm goes a long way toward ensuring advisors are satisfied with their dealer firm's…

Advisors pleased with products

Much praise was given to dealer firms that have an extensive mutual fund offering and provide access to other products that cater to specific clients

Small clients are safe with dealers

Almost nine in 10 advisors said their dealer firms don't encourage advisors to drop the smallest clients from their books of business. Advisor independence and…

Advisors’ businesses in state of flux

The emergence of new competitors, such as robo-advisors, combined with the impact of increased regulation and shifts at both the client level and within the…

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…

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…

Shifting fortunes for four firms

Acquisition wrecks havoc on ratings

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.…

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…

Dealers’ Report Card 2016 main chart

How advisors rated their firms

  • By: IE Staff
  • May 19, 2016 June 15, 2021
  • 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

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…

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…

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…

Dealers’ Report Card 2015 main chart

How advisors rated their firms

  • By: IE Staff
  • May 21, 2015 June 15, 2021
  • 23:00

Reps fail to move forward

Although advisors are making significant efforts to get ahead in today's challenging environment, their AUM is dropping in value while their firms struggle to deliver…

Firms’ proactivity is praised

Advisors lauded firms that make an effort to let advisors know what's important in a variety of ways

Rewards fail to motivate advisors

Although most advisors gave their dealer firms' rewards programs a shrug of the shoulder, some consider them appealing

Back office still fails to meet needs

Advisors' complaints about their back offices remained the same as in previous years. Most notably, advisors cited overworked staff, delayed response times and multiple processing…

  • By: Leah Golob
  • May 21, 2015 November 16, 2019
  • 23:00

Advisors look to financial planning

Financial planning is becoming more important. Advisors said it helps them show the value they provide to their clients

Table

Advisors suffer a setback

Despite surging equities markets and increasing assets being directed into mutual funds, advisors surveyed for this year's Report Card report a drop in the average…