Home In Depth Report Cards Page 6

Latest news in Report Cards

Making headway on mobility

Support for mobile technology is becoming more important for financial advisors, and firms are doing a better job of delivering the help advisors need to…

Communication affects satisfaction

Advisors are happier when their firms focus on informing advisors about what's important, including the firm's strategic focus, and provide the proper channels through which…

Shifting fortunes for four firms

Acquisition wrecks havoc on ratings

Firms make efforts to foster culture

For many financial advisors surveyed for this year’s Dealers’ Report Card, their firm’s corporate culture is difficult to define and embrace because of geographical distance.…

Advisors experience solid growth

Although dealer reps have added to their AUM and client totals, a closer look reveals that top performers are focusing on serving their high net-worth…

Dealers’ Report Card 2016 main chart

How advisors rated their firms

  • By: IE Staff
  • May 19, 2016 June 15, 2021
  • 23:00

Room for improvement in tech remains

Although some firms are doing a better job on technology, the "satisfaction gap" in this category suggests much work is needed

Right mix of training is needed

With little consensus among advisors about what they need from their firms in ongoing training, the firms that are praised most offer the right blend…

Transition to fees requires support

Regulatory initiatives such as CRM2 are forcing firms to create or improve their IT platforms - as well as increase the support and education for…

2016 Brokerage Report Card: Behind the numbers

2016 Brokerage Report Card: Behind the numbers

Brokerage Report Card 2016: Editors discuss key results

Brokerage Report Card 2016: Editors discuss key results

Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, discuss the results of the 2016 Brokerage Report Card.

Some direction is needed

The brokerage business is going through profound change, and advisors are counting on their firms to help them navigate through the new twists and turns

Brokerage Report Card 2016 main chart

How advisors rated their firms

  • By: IE Staff
  • April 21, 2016 November 9, 2019
  • 23:00

Social media is becoming a factor

As social media gains prominence as a marketing tool for advisors, access is more critical than ever. The firms that provide access to the online…

Financial planning gains prominence

Advisors consider financial planning to be more important than ever, and more advisors are creating financial plans with their clients. However, challenges remain in getting…

A greater priority for advisors

With strategic focus becoming more important for advisors, many are questioning their firm's efforts to attract and serve high net-worth clients while other advisors praise…

The keys to success in the back office

Quick response times, consistency, reliability and a client- and advisor-focused approach by back office staff are critical

Advisors relying on support

Firms' greater focus on operating within a fee-based compensation model makes the transition easier for advisors

Changes to pay miff advisors

Firms have adjusted their pay structures to reward advisors with larger or faster-growing books at the expense of advisors with modest-sized books, many of whom…

Robo-advisors not a cause for concern

The emergence of online financial services isn't a threat to most advisors' businesses because their clients prefer a personal touch

Firms ready to deal with seniors’ issues

More than 75% of advisors surveyed said their firms are prepared for the unique issues affecting this demographic

Advisors are holding their own

Assets under management have remained steady over the past year, ending a string of successive gains that advisors have enjoyed this decade, while productivity has…

Regulators’ Report Card 2016: Regulatory trends

Regulators’ Report Card 2016: Regulatory trends

Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, discuss whether survey participants want to see a merger of the SROs and…

Regulators’ Report Card 2016: Editors discuss results

Regulators’ Report Card 2016: Editors discuss results

Pablo Fuchs, senior editor with Investment Executive, and Fiona Collie, staff writer, outline the key findings of the 2016 Regulators’ Report Card. Ratings are a…