Advisers Are Optimistic About the Future

March 2010
Journal of Financial Planning;Mar/Apr2010 Practice Management, p19
Academic Journal
The article reports on the optimism of independent registered investment advisors (RIAs) towards the future of the financial services industry despite the economic downturn and possible regulatory changes in the U.S. Based on the survey conducted by TD AMERITRADE Institutional that was released in January 2010, 50% of RIAs have reported client growth and only 9% have claimed a drop in clients. It found that advisers spending in 2009 had declined and the top areas are in marketing and technology.


Related Articles

  • Withering Wirehouses? Not Quite. Britton, Diana // REP.;Dec2012, Vol. 36 Issue 12, p27 

    The article offers information on a survey conducted by "Registered Rep" on financial services firms in the U.S. between September 6 and October 26,2012. It was carried out through online wherein the firms are rated based on the satisfaction of financial advisors. It found that the firms that...

  • Investment ADVISOR OF THE YEAR. Satter, Marlene Y. // Investment Advisor;Jun2010, Vol. 30 Issue 6, p42 

    The article focuses on findings of a poll of 58 presidents of independent or brokers dealers in 2010 in the U.S. Brokers and dealers were asked to cite the challenges their firms faced. The poll found that 70% of respondents considered misguided regulatory or legislative agenda as the biggest...

  • Advisors Face New Pressures. Investor's Business Daily // Investors Business Daily;6/22/2015, pA07 

    "Downward pressure on fees is only starting." "The advisor workforce faces a critical gap in young, diverse talent." "FAs' resistance to regulation may further harm the industry's reputation."

  • Tom Nally. J. H. // Investment Advisor;May2012, Vol. 32 Issue 5, p42 

    The article presents information on Tom Nally, president of TD Ameritrade Institutional.

  • TD Ameritrade Adds Brokers. Mitchell, Donna // American Banker;7/26/2010, Vol. 175 Issue 113, p7 

    The article reports that brokerage firm TD Ameritrade Institutional hired 212 brokers during its 2010 fiscal year.

  • Resource Directory.  // On Wall Street;Sep2014 Supplement, p23 

    No abstract available.

  • Spike in Percentage of RIA-to-RIA Deals. Marsh, Ann // Financial Planning;Oct2013, Vol. 43 Issue 10, p24 

    The article reports on an increase in the proportion of deals between registered investment advisors (RIA) in the U.S. in the first half of 2013, according to the mid-year deals report of Pershing Advisor Solutions.

  • Best of the Best 2015.  // REP.;Dec2015, Vol. 39 Issue 12, p53 

    A list of Registered Investment Adviser (RIA) in the U.S. is presented including Myrna M. Rivera, Anne B. Shumadine and Jeanie Wyatt.

  • TD Ameritrade Scoops Up Breakaway Brokers. Ackerman, Ruthie // American Banker;7/26/2011, Vol. 176 Issue 114, p12 

    The article focuses on TD Ameritrade Institutional brokerage which hired 260 independent registered investment advisers (RIA) during the first three quarter of 2011.


Read the Article


Sign out of this library

Other Topics