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 Wirehouses/Regionals
Five Questions for a Top Retirement Advisor
March 10, 2010
A conversation with Gregory S. Smith, CFP, ChFC, Managing Director and Financial Planner with the Wise Investor Group of Robert W. Baird & Co., Reston, Va....
Morgan Stanley Hires Citi Exec; Shedlin to Boost Investment Banking
March 09, 2010
Gary Shedlin joined Citigroup in 2004 and has had several high-profile banking assignments since then, including work for BlackRock....
UBS Makes More Exec Shifts: Appoints New Private Wealth COO
March 04, 2010
These changes come after former Merrill Lynch executive Robert McCann became head of Wealth Management Americas in October 2009....
Wirehouse Performance Takes Divergent Paths
March 01, 2010
Though they may say differently, the remaining wirehouses are still engaged in both a fierce recruiting war and a tough fight to keep top advisors, as revealed in their latest quarterly and annual results....
Morgan Stanley Exec Leaving Post as Head of New York City FAs
February 19, 2010
Jimmy Tighe had been with Citi for 16 years; reportedly may join BofA-Merrill....

 Independents/RIAs
Schwab Tackles the ETF Business
March 01, 2010
Unbeknownst to many, Schwab has quietly been one of the largest ETF distributors through its retail and RIA brokerage platform, and now it’s an ETF manager. ...
LPL Financial: Nears 12,000 Indie Advisors
March 01, 2010
As it nears 12,000 advisors, LPL Financial stands just below Morgan Stanley Smith Barney (18,135 FAs), Bank of America-Merrill Lynch (15,006) and Wells Fargo Advisors (14,961)....
Investors Cap Grows Profits, Boosts Recruiting of Top FAs
February 17, 2010
In terms of its advisor headcount, the broker-dealer has some 550 reps, down from over 600 a year ago, and says it is “emphasizing recruiting quality over quantity and culling lower-producing representatives.”...
HighTower Attracts Another Wirehouse Team; Aims to Grow AUM to $50 Mn.
February 17, 2010
HighTower has just recruited the Strata Group, which manages some $500 million in assets, from Morgan Stanley Smith Barney....
Fidelity Says 25-30% Growth is 'Doable'
February 01, 2010
Fidelity’s attraction to 185 brokers and teams in 2009 represents about a 30 percent increase in recruiting for its institutional wealth services group over its 2008 results....

 Going Independent
Benjamin 'Tad' Edwards: A Start-Up with Pedigree
February 01, 2010
Tad Edwards has started a new firm in the tradition of his forefathers, bearing its distinct Midwestern warmth and friendliness....
Fidelity Says 25-30% Growth is 'Doable'
February 01, 2010
Fidelity’s attraction to 185 brokers and teams in 2009 represents about a 30 percent increase in recruiting for its institutional wealth services group over its 2008 results....
Time for a Transition (V): Ramp Up Your Marketing Plans in 2010
January 13, 2010
Here are three resolutions FAs should tackle in 2010 to improve the market share of their newly independent and other advisory practices. ...
Time for a Transition (III): Niche Marketing
November 18, 2009
One way to expand your existing practice is to target a market, which is what financial advisor Sammie Gatti did in Dallas by going after women working for Texas Instruments. ...
Five Questions for a Top Executive Recruiter
October 21, 2009
A conversation on trends in advisor recruiting with Danny Sarch, president of Leitner Sarch Consultants....

Chip Roame

The head of Tiburon Strategic Advisors in Northern California, Chip Roame, has also worked for Schwab and McKinsey. He speaks regularly with the media about trends in the broker-dealer industry and hosts the Tiburon CEO Summits each April in New York and October in San Francisco.
Chip Roame's Latest Articles

David J. Drucker

David J. Drucker, CFP, is president of Drucker Knowledge Systems and speaks frequently at conferences and in the media about the financial-services industry; see www.DavidDrucker.com.
David J. Drucker's Latest Articles

Marie Swift

Marie Swift is the president of Impact Communications, a marketing and communications firm for independent advisors. In addition, she speaks regularly at industry events and contributes to many industry publication; see www.impactcommunications.org.
Marie Swift's Latest Articles

Research Advisor Hall of Fame

Nominations due: September 1, 2009

Advisors must be 15 or more years as a registered rep; show superior performance in building business, servicing clients and managing money; have recognition/respect of peers; show civic, community and other professional involvement; have an impeccable compliance record.

Nominations should include support materials, like client testimonials; letters from managers/executives at the respective firm; and any press stories or public notices of advisory services and/or community involvement.

Send materials to: Janet Levaux, Research, att: Hall of Fame, 88 Kearny, #1800, San Fran, CA 94108.


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FA Headcount

The largest broker-dealers have the following number of financial advisors worldwide, according their latest regulatory filings and public reports:
 
 Merrill Lynch  16,700
 Wachovia  14,635
 Edward Jones   12,155
 Smith Barney   11,960*
 LPL Financial  11,770
 Ameriprise 11,520
 Morgan Stanley 8,425*
 UBS 8,200
 Raymond James 5,075

 * Now in Joint Venture as Morgan Stanley/Smith Barney

Advisor Hall of Fame

For nearly 20 years, Research magazine’s Advisor Hall of Fame has featured top veteran advisors, who give their best to both their clients and their communities. This honor has become a benchmark of excellence in the broker-dealer industry and highlights the rewards that come from effort and integrity.

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The Winner's Circle

Led by R.J. Shook, The Winner’s Circle ranks the country’s best financial advisors and their teams (horizontal, vertical and family), highlighting the best practices in the advisory field and information such as firms, team locations and assets under management.

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