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Brokerage Report Card

  • Characteristics of ETF users
  • All eyes on financial planning
  • How we did it
  • Firms improve marketing support
  • Firms leave much to be desired when it comes to technology
  • A growing priority for aging advisors
  • Brokers’ businesses returning to form
  • Software, experts are key to satisfaction
  • The making of a Report Card
  • Advisors praise equity ownership, stable payouts
  • Firms retool as they enter a new era of growth
  • Firm reputation essential to advisors
  • Firms praised for fostering collaboration
  • Helping clients, with support of in-house experts
  • Advisors, firms rebuild in wake of tough year
  • Firms backing up their advisors
  • Advisors take market meltdown in stride
  • Books get smaller
  • Mobile platforms, training take centre stage
  • Advisors displeased with research desks
  • Advisors’ wallets get a little lighter
  • Succession planning now a priority
  • Guarantees reign in these troubled times
  • Having a stake in employer has its benefits
  • A tale of three brokerages
  • Compiling the 2009 Brokerage Report Card
  • Bank-owned firms could learn from the others
  • New entrants, new questions
  • Firms step up efforts to improve advisors’ desktops
  • Administrative support is front and centre: Includes chart
  • More advisors integrate financial planning into their practices: Includes chart
  • Advisors displeased with account statements
  • Advisors looking for more than just dollars: Includes chart
  • A way to develop closer relationships with clients: Includes chart
  • Insurance gains prominence: Includes chart
  • ABCP mess has advisors questioning firms’ stability
  • Blackmont thrives under CI ownership
  • Firms increase emphasis on research desks: Includes chart
  • Advisors see growth in their books: Includes chart
  • Bank-owned firms still the best place for rookies
  • Advisors feel the heat of uncertain times: Includes main chart
  • Balanced approach needed: Includes chart
  • Firms take action to bridge the values gap: Includes chart
  • Business-savvy branch managers wanted: Includes chart
  • Back office takes a back seat: Includes chart
  • Advisors sing praises of firms’ tech tools
  • Complying with regulation is burdensome but necessary: Includes chart
  • Ability to transfer book varies greatly
  • Advertising is no cure for a poor image: Includes chart
  • Advisors find firms’ support services wanting: Includes chart
  • Communication is key to developing a strong culture
  • Feelings mixed on succession strategies: Includes chart
  • Report Card undergoes a facelift
  • Special programs aim to attract wealthy clients: Includes chart
  • It’s back to fewer clients, bigger clients: Includes chart
  • Equity in the firm still the best reward: Includes chart
  • Taking note of what advisors want: Includes Main chart
  • This year’s advisor is older, has bigger book and works harder: Includes chart
  • Equity in the firm proves the best reward: Includes chart
  • Firms opening their doors to newcomers: Includes chart
  • Developing company team spirit: Includes chart
  • Succession plan deemed essential: Includes chart
  • Advisors find the freedom to make choices: Includes chart
  • Increased tech spending heralds new era: Includes chart
  • The ever-increasing regulatory burden: Includes chart
  • Positive workplace key to performance: Includes chart
  • Improved stability wins brokers’ praise : Includes main chart
  • Choosing the right model, the right firm: Includes chart
  • Firms roll out programs for rookies: Includes chart
  • Advisors find an ally in the branch manager: Includes chart
  • Clients want online access, say firms: Includes chart
  • Dealers ready to spend: Includes chart
  • Success is measured by what the advisor likes: Includes chart
  • Compiling the 2005 Brokerage Report Card
  • Ethics, freedom and stability: Includes chart
  • Assets, revenue top list but soft skills needed, too: Includes chart
  • Struggling firms show signs of improvement: Includes chart
  • Quest for wealthier clients is paying off: Includes charts
  • Simpler is better, brokers say: Includes chart
  • Wanted: a few good advisors, veteran or rookie: Includes chart
  • Aging advisors pose challenge for the dealers: Includes chart
  • Dealers safeguard their reputations, brands: Includes chart
  • Brokers Quotes
  • Brokers shrug off single-regulator issue: includes chart
  • Opinions vary on prospect of mergers: includes chart
  • Fixed-income investments fail to enthuse: includes chart
  • Firms struggling on the technology front: includes chart
  • Push to promote is building: includes chart
  • Wellington West goes out for success: includes chart
  • Employers’ efforts appreciated: includes chart
  • Brokers focus on insurance: includes chart
  • A tale of two smaller brokerages
  • Brokers older, more experienced and wealthier: includes chart
  • How we create the Brokerage Report Card
  • Scores improve in most categories: includes Main Chart
  • Account statements pilloried – again
  • Small but independent
  • Brokers shy away from U.S. research: includes chart
  • Advisors would switch for money: includes chart
  • Public image a definite strength in a weak market
  • Sound business plan crucial for success: includes chart
  • A dearth of designations among brokers: includes chart
  • Berkshire, Dundee hold the stage with the pros
  • TD Waterhouse stages turnaround: includes chart
  • Death, taxes, and Edward Jones in first spot: includes chart
  • Brokers savage Wood Gundy
  • Preparing the report card: includes main chart
  • Whales vs the small fry: includes chart
  • Rankings reflect market fallout
  • Broker quotes 2
  • Brand-name blues
  • Nobody loves the advertising
  • What makes a broker happy?
  • Industry still a man’s world
  • Broker quotes
  • Former Merrill brokers fear the unknown
  • Advisors staying the course
  • Brokers insist their firms are stable
  • How the Brokerage Report Card is prepared
  • Career change proves rewarding
  • Middle-aged guys the industry average
  • Sometimes, it’s lonely at the top
  • What a difference a year makes
  • What are brokers saying?
  • Do-it-yourself still mostly the better way
  • Changing firms an exercise in frustration
  • Pressure? Who cares
  • Upgrades inch ahead in attempts to enhance service
  • Business model key to Jones’s success — Includes 2001 BRC chart
  • Full-service fears subside with the market
  • Eternal struggle over payouts
  • Bank-owned means “bureaucracy, inflexibility”
  • What are brokers saying?
  • Designations still a contentious issue
  • Money can’t buy happiness
  • Brokers a happy bunch
  • Brokers feeling squeezed
  • When analysts make their pitch, who listens?
  • The best boss is no boss at all
  • Brokers face the Net threat
  • Don’t get no respect
  • Where brokers go for info
  • “Clean up statements”
  • High-tech frustration
  • What happens when investors tap back office info through the ‘Net’
  • Corporate cogs vs cowboys
  • What it takes to build your own firm
  • Mergers don’t always unite brokers
  • Sex and securities
  • RIP: entrepreneurial spirit
  • Canaccord comes out on top
  • Maintaining research’s integrity
  • Firms turn up the heat
  • Rolling stones may gather headaches
  • Advisors embracing fee-based business
  • Canaccord tops for freedom
  • Bank-owned brokers feeling left out
  • Brokers vent their frustrations
  • Going outside the firm
  • Insuring future business
  • Thumbs down – again – on statements
  • The more things change, the more…
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Brokerage Report Card

Brokerage Report Card 2020 main chart

How investment advisors rated their firms

May 1, 2020
brokerage report card main chart

IE Staff

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Related

  • Advisor loyalty grew for most wealth firms and banks
  • How we did it: Advisors’ Report Card 2025
  • The evolution of succession planning

Research by:
Emily Fox, James Gaughan, Surina Nath, Swikar Oli

Research editor:
Katie Keir

Click the image below to download a PDF of the chart.

brokerage report card main chart

Read next

  • Characteristics of ETF users

  • All eyes on financial planning

  • How we did it

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