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 Research Reporter - Broker/Dealers 

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 Wirehouses/Regionals
Wells Fargo Moves to Fix Tax-Withholding Issue
September 01, 2010
The bank began letting legacy Wachovia advisors set their own tax-withholding level on commissions in August, after automatically withholding 25% for the past seven months. ...
Wirehouse Assets: Still on Top, But Losing Market Share
August 31, 2010
The four largest broker-dealers have about 60%, or $1.1 trillion, of the industry’s managed assets, down from 64% last year, according to a recent study. ...
Wirehouse Watch: Why Merrill's Results Top Morgan Stanley's
August 30, 2010
Profits and margins at BofA-Merrill are well ahead of those at Morgan Stanley Smith Barney, despite MSSB’s larger advisor force. ...
Using Managed Futures in Rough Markets - Part I
August 27, 2010
A little-known portfolio tool can help advisors reduce risk for their clients in severe market slides, financial experts say....
Raymond James Adds Board Member, Pays Dividend
August 26, 2010
The board also approved bylaw amendments related to the separation of CEO and chairman offices. ...

 Independents/RIAs
Former ING Advisor Group Adds to Exec Team
September 09, 2010
As Cetera Financial Group adds managers, including recruiters, it may also shed advisors to focus on high-performing FAs. ...
Weekend Interview: Tom Bradley of TD Ameritrade on Advisors’ Future Success
September 03, 2010
Discusses outsourcing, coaching and advisors’ likely keys for future success...
Weekend Interview: TD Ameritrade's Bradley on Advisors’ Future Success
September 03, 2010
The custodial-firm executive discusses outsourcing, coaching and advisors’ likely keys for further growth....
Former ING Advisor Group Hires Second Schwab Exec
August 30, 2010
Cetera Financial Group, formerly ING Advisors Network, said it has hired Mark Palmer as the firm’s national sales manager after tapping Barnaby Grist in February. ...
Schwab, TDAmeritrade Boost Assets on Weaker Trading in July
August 17, 2010
According to a recent TD Ameritrade survey, about 40% of clients want to see an upswing in the economy before becoming more active in the markets. ...

 Going Independent
Apple’s iPad Wins Favor With Advisors, Says FiServ-AdviceAmerica ‘Tech Geek’
August 26, 2010
Web apps and cloud computing catch on in practice management. ...
Time for a Transition (XII): Adding Audio Files, Webinars to Your Online Presence
August 12, 2010
How podcasts, webinars and videocasts can help advisors build relationships while saving time and money....
How to Get Clients Back on Track
August 05, 2010
The bear market set back many clients’ portfolios and retirement plans. We asked two top advisors to share recent cases in which they helped clients get back on track....
Fiserv Tops Earnings Estimates on Growing Sales
July 27, 2010
The service provider announced that it was acquiring AdviceAmerica in the second quarter, when it also launched a new payments service. ...
Penson Misses Earnings Due to Expenses, Weak Trading
July 22, 2010
Clearing firm says it is second-largest in correspondents after Ridge Clearing deal. ...

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, 2010

Research Magazine’s annual Advisor Hall of Fame is now in its 20th year. This eagerly anticipated annual recognition and its associated December cover story are a benchmark of excellence in our industry and an example of the rewards that come from effort and integrity.

Candidates must pass our rigorous screens, including: service for a minimum of 15 years in the industry, substantial assets under management, superior client service, and recognition from their peers and the broader community for the honor they reflect on their profession.

To enter the 2010 Research Advisor Hall of Fame, please click on the link below and complete this online entry form by September 1, 2010.

This is a strict deadline, and no late entries will be accepted.

Application for 2010 Research Advisor Hall of Fame

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Advisor Headcount

The largest broker-dealers have the following number of financial advisors worldwide, according their latest regulatory filings and public reports:
 
 Morgan Stanley Smith Barney 18,140
 Wells Fargo Advisors 15,119
 Bank of America-Merrill Lynch 15,005
 Edward Jones 12,743
 LPL Financial 12,026
 Ameriprise Financial 11,837
 UBS 6,870
 Raymond James 4,523

 Source: Company reports 2010 for Series 7 FAs

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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