Independent Advisors:
Independent Reps, Fee-Based Financial Advisors (RIAs), & Dually Registered Financial Advisors

Recently Released!!!
Date Published: June 21, 2017
Summary PPT Deck: 102 Slides
Reference PPT Deck: 238 Slides


The purpose of this research is to provide readers with a comprehensive understanding of independent advisors, including independent reps, fee-based financial advisors, & dually registrered financial advisors, which are collectively the fastest growing financial advisory market & distribution channel. Data on these interrelated markets can be confusing due to fee-based financial advisors' definition as a sub-set of registered investment advisors (RIAs), independent broker/dealers overlap with insurance broker/dealers, and the overlap in dually registered financial advisors within the definition of independent advisors. This research summarizes the highlights of these underlying topics. This research is part of Tiburon's coverage of financial advisor channels.

This research addresses the historical phases of independent advisors, including: 
  • Emergence Phase
  • Growth Phase
  • Maturization Phase

    This research defines markets segments of independent advisors, including:

    • Independent Reps
    • Fee-Based Financial Advisors (RIAs)
    • Dually Registered Financial Advisors

    And this research offers several future predictions for independent advisors, including:

    • Steady Flow of Break-Away Brokers
    • Continuous Rapid Growth
    • Independent Advisors to Become Central to Product & Technology Companies
    • Fee-Based Financial Advisors & Dually Registered Financial Advisors to be Big Winners
    • Distancing of the Leaders
    • Consolidation of Independent Advisors
    • Emergence of Independent Advisor Markets Outside of the United States of America

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