UPDATE: Citi To Shift 600 Advisers To Fees From Commissions
October 05 2009 - 5:43PM
Dow Jones News
Citigroup Inc. (C) Monday took a step toward defining how it
wants to serve Main Street.
The bank announced it is changing the way its financial advisers
operate; those 600 advisers who work within Citibank branches, and
who remained when the bank combined its Smith Barney brokerage with
Morgan Stanley's brokerage in a joint venture.
Citi decided to rid itself of commission-based advice and will
henceforth charge clients a fee of about 1% of invested assets. It
will give clients who want wealth management services through
Citibank branches the option of working with Citi's own financial
advisers, or of choosing independent advisers with whom Citi will
begin to form relationships, and who will pay Citi a fee for the
referral.
Citi is in advanced discussions with some of the nations top
independent RIA businesses and expects to announce agreements in
select markets in the near future, Deborah McWhinney, the head of
personal banking and wealth management, said in a press
release.
The changes, which will begin to be implemented in the next
couple of months, are part of Citi's effort to, in the words of
McWhinney, "put the customer back into Citi." Rather than focusing
on complicated trading products, Citi wants to collect deposits and
move money for households and businesses; rather than pushing
products, it wants to sell service, it says.
The bank has made strides to change the focus of its investment
banking business away from proprietary trading, but its U.S.
consumer strategy remains a work in progress.
The new wealth management strategy came together comparatively
quickly. McWhinney joined Citi in April; until 2007, she was
president of Charles Schwab Institutional, which provided back
office services to the retail broker's investment advisers.
The shift announced Monday means more options and more
transparency for Citi's wealth management customers; it will
generate more money for Citi, she predicted.
Citi reduced its stake in Smith Barney because the brokerage
business does not fit with its more traditional banking strategy.
It kept its private bank for high-net-worth individuals. But Citi
does want to offer some wealth management advice to its retail
banking customers.
About $30 billion in assets under management remained with Citi.
At least some of the brokers who remained with Citi, however, felt
disappointed they did not join the new Morgan Stanley Smith Barney.
That feeling "will certainly be top of mind for me," McWhinney said
in an interview in April.
Citi's new model contrasts with the approaches of Bank of
America Corp. (BAC) and Wells Fargo & Co. (WFC), both of which
have large retail brokerage operations.
There will be brokers who will not like the new model and leave,
Citi concedes. But Citi will hire more advisers.
One Citi adviser worried about the impact on his compensation
and clients said, "I am shocked, nobody expected that." He added,
"Good luck keeping your reps."
A Citi spokesman said in an email that clients won't immediately
see changes in how they are charged, but will move to the new
pricing model "as we change compensation model for" advisers.
Debra Wetherby, the chief executive of Wetherby Asset Management
Inc. of San Francisco, said, "It's a revolutionary move for a money
center bank. They are fundamentally trying to change" the
investment advisory business. She said she had several
conversations with McWhinney but hasn't decided whether her firm
would cooperate with Citi.
A client entering a Citibank branch seeking wealth management
advice would first meet an "investment consultant," a new position
in Citibank branches. The consultant would present three options:
To work with a Citi wealth adviser, an independent adviser, or to
use its online and phone based advisory service, formerly branded
myFi. The latter is now called National Investor Center and caters
mostly to clients with less than $250,000 to invest.
Independent investment advisers have gobbled up an ever larger
share of the wealth management business - in 2008 gaining more than
$100 billion in assets, Citi said. Citi wants to tap into that
resource.
"This is a natural step" for Citi, McWhinney said. "Let's
partner with people, let's build the franchise not by saying,
'We'll do it all ourselves.'
"I expect that there are going to be a lot of brokers who
contemplated going independent" at other brokerages who see Citi's
referral offer as a start into a new business, she said. "I fully
expect we'll get a lot of phone calls."
-By Matthias Rieker, Dow Jones Newswires; 212-416-2471;
matthias.rieker@dowjones.com