Research
FORUM TRANSCRIPT

Independent Broker-dealer & RIA Update – Competitive Dynamics & H2 2022 Outlook

  • Credit
  • Financials
  • North America
PREMIUM

Specialist

Former executive at Cetera Financial Group Inc

Agenda

  • IBD (independent broker-dealer) and RIA (registered investment advisor) operating environment – rising rates’ impact on revenues across cash spreads and fees, plus client retention risks
  • Advisor recruitment trends – risk of rising advisor acquisition costs and wirehouses’ ability to curb attrition
  • Competitive dynamics across IBDs and RIAs, including potential winners and losers
  • Potential for additional industry consolidation and M&A multiples’ sustainability
  • H2 2022 outlook, highlighting regulatory risks, especially from resurgence of DOL (Department of Labor) fiduciary rule

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