Tag: Broker/Dealer

Products

January 12th, 2009

AIG Small Business e-Excess Platform Unveils Enhancements

AIG Small Business, a division of AIG Commercial Insurance, said its AIG e-Excess platform now features a premium indication tool and multi-limit quote functionality to help brokers process...

Data & Research

December 30th, 2008

IBD Managed Account Assets Catching Up to Wirehouses

Three independent broker/dealers (IBDs) control an overwhelming share of managed account assets in the independent channel, according to data from Cerulli Associates.

regulatory radar

Getting Comfortable with the “F” Word

Are you a fiduciary? Do you tell your client how to stay out of trouble on the fiduciary front?

practice management

Getting Your Fare Share

Scrutiny of fees has never been more intense. What is reasonable? Ensuring your revenue stream fits your business

regulatory radar

Hidden in Plain Sight?

What do the Department of Labor fee initiatives mean for advisers?

cover story

Which Way Do I Go?

Wirehouse, independent, or other. Which business model is right for you?

road test

Road Test

A view of a recent product development

trendspotting

A Surge Ahead

Current financial environment could have positive effects on the retail wealth management channel

research

Guide to Broker/Dealers’ Retirement Plan Services

In spring of 2008, PLANADVISER sent an e-mail to its database of broker/dealers to learn what some are doing to accommodate retirement plan advisers. This is a list...

research

Benchmarking Your Practice

Capturing the profile of the "typical" retirement plan adviser

In Practice

November 10th, 2008

Competition for Advisers Heats Up

Brokers are receiving incentives to switch firms, and the independent route is looking more attractive, according to research from Fidelity Investments and National Financial.

In Practice

October 16th, 2008

A Surge Ahead for Retail Wealth Management

Retail wealth management, particularly in the fee-based arena, could come out of the financial crisis much stronger, according to a recent TowerGroup report.

trendspotting

Advice Is Value Added

The role of financial planning is becoming more important in client relationships

intro

Identity Crisis

How to know what you don't know

cover story

Murky Waters

How to work (a) with, (b) around, (c) through your compliance department

In Practice

August 1st, 2008

RIA Industry Rife With M&A Activity

Since 2006, the average number of annual deals among registered investment adviser (RIA) firms rose 37% in the last two years, to 48, and the increase in acquisitions...

cover story

Mastering Your Business Game

Decide what kind of adviser you want to be, then evaluate the services of a broker/dealer

trendspotting

ETF Uptake

Financial advisers see ETFs as the most innovative investment vehicle in the last two decades

trendspotting

Talent Search

Firms increase recruiting efforts for advisers

Events Spotlight

November 2– 5, 2025
The Westin Kierland, Scottsdale, AZ
The retirement plan advisory industry continues to evolve, both in business structure and in the services provided to sponsors and participants. Advisers need insights and resources to aid them in keeping themselves and their practices relevant. PLANADVISER 360 is a comprehensive, interactive event that provides just those opportunities, all while bringing advisers to a beautiful resort to golf, enjoy the outdoors, swim and spend time with peers.