Buckle Up, RIAs…

October 2007
Journal of Financial Planning;Oct2007, Vol. 20 Issue 10, p12
Academic Journal
The article discusses projected changes in the competitive landscape for registered investment advisors (RIAs). A report issued by Pershing Advisor Solutions LLC predicts that the number of advisory firms catering to retail investors will increase by over 22% between 2007 and 2012. In addition, sophisticated clients will be demanding a higher level of service. RIAs will have to cope with enactment of the Pension Protection Act, and a 2007 judicial ruling affecting brokerage accounts. Increasingly, RIAs will need to develop practices catering to specific niches in the field of financial services.


Related Articles

  • Pershing Renames A Unit for Advisers.  // American Banker;6/14/2005, Vol. 170 Issue 113, p7 

    Highlights the formation of the Pershing Advisor Solutions unit of Pershing LLC. Claim that the formation of the new unit allows Pershing to broaden their focus on registered investment advisers; Plans to offer customized services to independent and dually registered investment advisors; Goals...

  • Nic Cicutti: Clients still have emotional attachment to independence.  // Money Marketing (Online Edition);7/19/2012, p22 

    The article presents the author's opinion on independent investment advice in a post-retail distribution review (RDR) world. The author has no faith in the contention that within five years of the implementation of the retail distribution review, the distinction between independent and...

  • The Perfect Wealth Manager.  // On Wall Street;Sep2005, Vol. 15 Issue 9, p36 

    Emphasizes the move of financial services industry to form a support team in offering wealth management services. Composition of the support team; Financial firms that are venturing into wealth management; Tips in managing high-net-worth clients; Disciplines of wealth management; History of...

  • Platform that we needed to build on. Bowmer, Chris // Money Marketing;2/5/2009, p18 

    The article discusses the advantages of adopting platform solutions to provide professional financial planning service to clients in Great Britain. He cites several wrap solutions which have made available in the past, but the solutions contain certain issues that indicates their complexity and...

  • Philanthropy: a new opportunity? Christie, Bruce // Money Management;5/24/2007, Vol. 21 Issue 18, p16 

    The article discusses the benefits gained by financial advisors from giving advice to philanthropists. He expresses that the benefits depend on the level of skills attained and how advisors are providing services to their clients. These benefits include improvement in the quality of service and...

  • The first year report card. Scott, Philip // Money Marketing;6/1/2006, p51 

    The article examines the state of the financial services industry in Great Britain 12 months after depolarization. The advisers declared that depolarization has been a non-event. Independent financial advisors (IFAs) still want to be IFAs, consumers still want to get independent financial...

  • You can't have one without the other. Baigrie, Tom // Money Marketing;6/20/2013, p35 

    The author offers insights on private client financial management. According to the author, the duty of financial planners advising private clients is to get them to set their expectations of their money properly and then meet those expectations. He insists that the only way to achieve this is...

  • Delivering advice for all. Wilkinson, John // Money Management;7/20/2006, Vol. 20 Issue 26, p20 

    The article points out that despite the huge promotional budgets of the big players in financial planning in Australia, the independent dealer groups continue to thrive and build customer bases. However, independent groups have to compete with the big groups in attracting financial advisers by...

  • The will to win.  // Money Marketing;2/2/2006, p53 

    The article discusses alternatives for financial advisers if they intend to write wills for their clients in Great Britain. First, advisers can pass leads to a local specialist will writer who will contact the client and do the job on their behalf. Second, they could be trained by a company or...


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics