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Disintermediation Déjà Vu

During one of the peer group discussions at our Top Director Awards, the finalists in the mega and large firm categories ruefully reported that, after a hiatus of several years, they were once again facing pushback from bankers about investment sales disintermediating...

Needed: Better Tracking and Reporting

By now you are neck-deep in planning and budgeting for 2023. What metrics are you managing to as you look to the year ahead? Revenue growth? Assets? Profit margin? From our perspective, the core objective of the investment services unit inside a bank or credit union...

Can We Really Tell if Financial Planning Boosts an Advisor’s Production?

You’ve all met this guy, at an industry conference or at the bar afterwards.  Perpetual sceptic.  “I don’t see that doing more planning helps an advisor sell more.  I know lots of top producers who do no planning, and advisors who do lots of planning but are middling...

Which of Your Clients Are You at Risk of Losing?

Most consumer-facing companies ask about the customer satisfaction of every transaction. According to Larry Cohen, director of the Consumer Financial Decisions’ (CFD) MacroMonitor Survey, apparently, there is a constant need to make sure the company is receiving good...

The Cautionary Tale of the Bank-Owned Broker Dealer

According to this year’s Annual Industry Checkup, banks and credit unions that work with third-party broker dealers once again outperformed their counterparts with affiliate BDs. Gross investment services revenue in institutions affiliated with third-party BDs...

“The Scary One”

Why the Findings of the Annual Industry Checkup Are Downright Frightening The financial institution investment services and insurance community enjoyed its best year in recent memory in 2021, as the nation shook off many of the effects of the COVID 19 pandemic....