Advisor Group

Advisor Group

Parent of SagePoint Financial Inc.

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  • No. of reps, male
  • No. of reps, female
  • No. of producing reps, male
  • No. of producing reps, female
  • No. of reps producing $500K+ /year
  • No. of CFPs
  • No. of full-time employees
  • No. of fee-based advisers served
  • Average payout per rep, per year
  • Avg. annual production of top 20% reps
  • Total payout, per year
  • Cost of E&O insurance per rep, per year
  • Affiliation fees charged per rep, per year
  • Affiliation fee coverage
  • Securities revenues
  • Securities revenues: Stocks
  • Securities revenues: Bonds
  • Securities revenues: ETFs
  • Securities revenues: Other
  • Mutual fund revenues
  • Annuities revenues
  • Annuities revenues: Fixed
  • Annuities revenues: Variable
  • Annuities revenues: Other
  • Insurance revenue
  • Insurance revenues: Life
  • Insurance revenues: Disabilities
  • Insurance revenues: LTC
  • Insurance revenues: Other
  • Alternative revenues
  • Alternative revenues: Hedge funds
  • Alternative revenues: Managed futures
  • Alternative revenues: Private placements
  • Alternative revenues: REITs
  • Alternative revenues: Other
  • Other commission revenues
  • Fee revenues: Rep-managed accounts
  • Fee revenues: Firm-managed accounts
  • Fee revenues: Outside-managed accounts
  • Fee revenues: Other
  • Fee-based assets: Clearing firm
  • Fee-based assets: Advisory firm platforms
  • Fee-based assets: Third-party money managers
  • Fee-based assets: Other
  • Is the firm, or an affiliate of the firm, registered as an investment adviser with the SEC?
  • Allows an adviser to have his/her own RIA
  • RIA platform AUM
  • Offers robo-advisory platform?
  • If not, when plans to offer a robo-platform
  • Robo-advice services offered
  • How robo-platform developed
  • Charge for robo-advisory services?

In the News

New tax law provides opportunity for tax-rate arbitrage on Roth IRAs

February 15, 2018 - The new, lower 2018 tax rates have made Roth IRA planning more valuable for your clients. These lower rates provide a limited opportunity to help some clients profit from tax-rate arbitrage by capitalizing on the spread between 2017 and 2018 tax rates....

As LPL buys broker-dealers, its rivals also benefit

February 8, 2018 - The more broker-dealers LPL Financial buys, the better it is, not only for LPL itself, but also for the rest of the independent broker-dealer industry. An acquisition means disruption, and that turns into lots of advisers looking to move to the firm that...

Independent broker-dealers are stepping up their game on recruiting from the wirehouses

January 27, 2018 - For years, many wirehouse brokers wouldn't consider moving to an independent broker-dealer β€” and for good reason. The technology at IBDs wasn't on par with the wires. They had no public branding to bring clients in the door. And perhaps above all else,...

Advisor Group B-Ds recruited 614 advisers last year ​

January 23, 2018 - The Advisor Group, the Phoenix, Ariz.-based parent of four independent broker-dealers, said that recruited a record 614 advisers last year. The firm, which consists of FSC Securities Corporation, Royal Alliance Associates, SagePoint Financial and Woodbury...

Why aren't clients using QCDs? Help them!

January 17, 2018 - The Tax Cuts and Jobs Act is in effect. You can help clients take advantage of tax savings with their IRAs β€”this is why they have you as an adviser. As far as tax savers go, this one is simple. Use qualified charitable distributions (QCDs) to maximize...

Lightyear Capital takes 50% stake in $9 billion HPM Partners

January 16, 2018 - Private-equity investor Lightyear Capital has taken a roughly 50% ownership stake in HPM Partners, a New York-based wealth management firm with more than $9 billion under management. The deal, announced Tuesday, shifted the ownership of HPM from Emigrant...

Roth IRAs hit 20 years old on New Year's Day

December 29, 2017 - The first day of 2018 will have special meaning for some retirement planners β€” the 20th anniversary of the Roth IRA. The plans, which allow individuals to contribute after-tax money into an account that they can withdraw from tax-free in retirement,...

Three keys to succession planning

December 15, 2017 - The advisory profession is a noble one, wherein participants are entrusted with the important responsibility of helping clients to accumulate wealth, plan for the future and retire comfortably. However, the industry is at an inflection point. According...

Indie administering $300 million goes from SII to FSC

December 13, 2017 - Ferrigno Financial, which administers more than $300 million in assets, has switched affiliations from SII Investments to FSC Securities, part of the Advisor Group. Based in Washingtonville, N.Y., Ferrigno Financial was founded in 1969 by Douglas Ferrigno,...

Avoid year-end RMD errors on retirement plans

December 5, 2017 - Advisers should be taking these last weeks of 2017 to make sure that there are no oversights when it comes to required minimum distributions (RMDs) from IRAs and company retirement plans. Remind clients that there is a 50% penalty for missing an RMD....

    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

All 2011-2016 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.

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