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Report


U.S. BROKER/DEALER MARKETPLACE 2022

Evolving Approaches to Advisor Recruitment and Affiliation


BENCHMARK AND GROW MARKETSHARE IN THE B/D CHANNEL

 * Review trends in advisor recruitment and development, including how firms
   have modified their approach in response to the COVID-19 pandemic
 * Discover the most compelling distribution opportunities for asset managers
 * Understand the impact that Regulation Best Interest (Reg BI) is having on the
   industry, including what firms are doing to comply, and how firms’ business
   models are evolving in response
 * Explore how COVID-19 is affecting firms’ and advisors’ use of technology and
   how advisors are adapting their approach to client engagement

$20,000

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SUMMARY

This report provides B/Ds and custodians a method to benchmark against their
competitors and insights into how they are reacting to key opportunities. The
report also helps asset managers and other third parties identify which are the
fastest-growing B/Ds are and what the growth drivers are. Third parties will
gain greater insight into their existing B/D partnerships, while also
discovering new partnering opportunities.


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METHODOLOGY

Each report is lead authored by a senior Cerulli analyst with significant
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inputs, based on Cerulli’s proprietary research process. For more on our
research process, click here.




EXECUTIVE SUMMARY

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highly visual format before you begin your journey through the report or use it
as a tool for senior leadership.




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A Note From the Author


WHERE ARE ADVISORS GOING?


MICHAEL ROSE

Director

Bio →

They are going to independent or hybrid registered investment advisor (RIA)
channels. The rate of growth in the number of advisors who affiliate with
independent and hybrid RIAs has grown on an annualized basis by 4.4% and 2.0%,
respectively, over the last five years. Wirehouse firms appear to be most at
risk of losing advisors, with their advisors most frequently identifying as
being undecided about remaining affiliated with their firms over the next 12
months.

They are increasingly leaving for independence. According to the research, 71%
of all financial advisors identify a preference for independent affiliation if
they were to switch firms. Employee advisors most frequently identify greater
autonomy (62%), higher payout (57%), and the ability to build financial value in
an independent business (54%) as major factors for their preference for
independence.

It’s not all doom and gloom for the B/D channel, however. Firms that pursue
upgrades in the name of scale and capability could stem advisor movement and
attract advisors—and assets. In fact, technology (56%) and the level of
autonomy/control over how they serve their clients (50%) are the most frequently
identified factors that would influence an advisor to choose to affiliate with a
B/D.

Read our latest Cerulli Report―U.S. Broker/Dealer Marketplace 2022: Evolving
Approaches to Advisor Recruitment and Affiliation, for our complete analysis of
shifting advisor affiliations as well as complete market sizing of the B/D and
advisor channels and our projections for where the market is heading, as well as
changes B/Ds are making to their operating models to remain competitive.

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