Diana Britton

Diana
Britton
Managing Editor

Diana Britton is the Managing Editor of WealthManagement.com and REP. Magazine, covering asset management and independent broker/dealers from all angles. A native of Los Angeles, she now lives in Queens, N.Y.

Articles
Ameriprise Profits Down on Market Volatility, LTC Reserve Boost
Amerprise Financial's first quarter net income was down 2 percent on market volatility and a $32 million long-term care reserve increase.
Expenses Bring Down Raymond James’ Quarterly Profit
Raymond James’ quarterly profits slipped 11 percent from last quarter due to elevated expenses, including $6 million related to mutual fund adjustments.
What Is a Robo Advisor?
Most advisors think they have a clear understanding of what a robo-advisor is, but their descriptions vary, a recent CLS Investments study found.
Tittsworth Resurfaces at Law Firm Ropes & Gray
David Tittsworth, the former president and CEO of the Investment Adviser Association, has come out of retirement to join the investment management practice at law firm Ropes & Gray.
Amid Low M&A Activity, United Capital Scoops Up Two Firms
While industry mergers and acquisitions have been drying up, United Capital Financial Advisers has just purchased two registered investment advisor firms with a combined $625 million in assets.
Smaller Firms Sustain Overall Investor Satisfaction, J.D. Power Says
While 12 of the 18 firms in J.D. Power’s annual investor satisfaction ranking had lower scores from last year, smaller, unranked firms are keeping the industry average high.
ALPS to Buy Private Equity Mutual Fund Shop
Denver-based ALPS, which provides several outsourcing services to mutual fund firms, says it plans to acquire Red Rocks Capital, a private equity asset manager, for $65 million.
Vanguard Unseats Fidelity as Target-Date King
After 16 years as the largest target-date fund provider, Fidelity Investments has lost its crown to Vanguard, which now holds 27 percent of the market share, Morningstar says.
The 10 Most and the Least Financially Literate States
As advisors, your business depends on guiding individuals and families in crafting a financial plan. It’s alarming, then, to realize that most families don’t have one. Even worse, many may not even know what you're talking about.
The Rare Prop Product

Are proprietary products an endangered species in the IBD world? Or did they just morph into more complex platforms?

View the full IBD Report Card

How Advisors Are Paid
The ascendancy of fee-based compensation in the independent broker/dealer space continues. Nearly 48 percent of advisors’ compensation comes from asset-based fees, up from 36 percent in 2011. Commissions accounted for another 48 percent of advisors’ pay.
Perks of Being an IBD Advisor
Many b/ds offer their reps special perks and incentives beyond payout. Eighty percent of advisors said their b/d offers top-producer reward trips, compared to about 73 percent in last year’s Independent Broker/Dealer Report Card.
Do You Consider Yourself a Fiduciary?
Nearly 60 percent of large IBDs consider themselves a fiduciary.
Cetera Centralizes Practice Management, Recruiting
With a string of acquisitions behind it, Cetera Financial Group is now centralizing its practice management and recruiting initiatives for the 9,500 advisors across its 11 broker/dealers under Brett Harrison.
Another Team Goes Back to Securities America
Terry Bethea and Larry Angst, who manage $100 million in client assets, have decided to return to Securities America after about four years with LPL Financial.
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