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2017 IBD Report Card

  • On April 10, 2017
2017 Independent Broker Dealer Report Card from WealthManagement.com The annual survey asks advisors from independent brokerages to rate the firms they work with from 1 (unacceptable) to 10 (outstanding) on a number of factors, including service, technology and practice management. WealthManagement.com fielded the online survey via emailed invitations to print subscribers, online registrants and advisors […]
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J.D. Power 2017 Top 10

  • On April 10, 2017
Full Service Investor Satisfaction Study 2017 Top 10 Rankings: The U.S. Full Service Investor Satisfaction Study, now in its 15th year, measures overall investor satisfaction with full service investment firms in seven factors (in order of importance): financial advisor; investment performance; account information; product offerings; commissions and fees; website; and problem resolution. Top 10: Charles […]
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J.D. Power 2017 U.S. Full Service Investor Satisfaction Study

  • On April 10, 2017
Key Generational Findings: Millennial money in motion: An alarming 48% of emerging affluent Millennials indicate they will definitely or probably leave their current provider in the next 12 months versus only 8% of other investors. While emerging affluent Millennials still represent just 8% of the overall available investable asset pool, they represent 55% of assets […]
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2016 Insurance M&A

  • On April 10, 2017
2016 Insurance Agent / Broker M&A Insurance M&A firm Optis Partners reports on 2016 M&A activity. Key findings: M&A Activity during 2016 fell just short of the 2015 count, with reported transactions in the US and Canada down slightly from 456 in 2015 to 449 in 2016, but still the second highest level of M&A […]
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RIA M&A Expected To Get Stronger In 2017

  • On April 3, 2017
RIA M&A in 2016 was strong, very strong. Reports produced already in 2017 indicate the industry is in for another banner year in RIA M&A. Charles Schwab 2016 Independent Advisor Industry Transactions: Total deal value reached $136 billion, rising 17% YOY and up 186% over 2014. 28 transactions had more than $1 billion in AUM. […]
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Don’t be held Hostage By Your Deferred Comp

  • On April 3, 2017
Many of the wirehouse advisors we work with in exploring their recruiting options ask how their deferred comp is taken care of. Will it be fully or partially replaced or will they need to leave it behind. Do you have significant deferred comp built up that is causing you to hesitate in considering your recruiting […]
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Deferred Comp Replacement Options

  • On April 3, 2017
Going independent or to a corporate branch office at a competitor firm will dictate deferred comp replacement options but there is no industry standard. Deferred comp replacement is a grey area and available options vary widely by the firm. Some receiving firms may account for your loss by offering restricted stock with a similar vesting […]
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Busy Week In DOL

  • On April 3, 2017
DOL Delayed to June 1 Late yesterday the DOL delayed the implementation of the fiduciary rule. The fiduciary rule date has been moved from April 10th to June 9th. A transition period for rule exemptions will run from June 1st to January 1, 2018. Department said it received 193,000 comment letters on the proposal of […]
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3 Complications With DOL Timing And Outcome

  • On April 3, 2017
Michael Townsend, V.P., Legislative & Regulatory Affairs for Charles Schwab shares 3 key circumstances contributing to the unpredictability of the timing and outcome of the DOL fiduciary rule (Schwab): The confirmation hearing has yet to be scheduled for the President’s nominee for Secretary of Labor, Alexander Acosta, who was tapped in February after restaurant executive […]
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