Best practices for switching firms and attracting new talent.
Transition Resources
Hayden Royal Practice Management: Suitability Best Practice
This article will discuss the importance of the risk and suitability assessment and the need for meaningful discussion with the client in order to construct and update an objective investment strategy that meaningfully takes all of the client’s information and objectives into consideration.
Personal Touch Meets Institutional Strength: Client Coverage at Stifel
At Stifel, we take a different approach – we want to insure we are a quality cultural fit for you and your clients, then we insure we have the capabilities to meet your needs.
How Firm Culture Impacts Advisor Breakaway Decisions
Elements such as firm size, history of the firm, and ownership structure, none of which are easy to change, are cultural elements that can serve as indicators of future strength or how an advisor may be treated when they seek support and assistance.
Is the Broker Protocol Collapsing?
Broker Protocol allows for orderly advisor transition so that the client needs are ultimately served, but is it on the brink of collapse?
A Manager’s Journey to Independence
In the words of the great Bob Dylan, “The times they are a changin’.”
We’re Heading to a Salaried Broker Model, and We’re Broken-Hearted
Exits from the Protocol for Broker Recruiting are a grim portent for entrepreneurs.
Struggling Small Broker-Dealers Finding New Life as Super Branches
More and more small and mid-sized independent broker-dealers are surrendering their costly supervisory and compliance responsibilities and rolling up under independent advisory and brokerage firms as super branches.
What to Do After End of Broker Protocol Truce
As in the past, the keys to broker and client portability will be decided in courtrooms and arbitration forums, lawyer says.
Independence Without the Burden
Branches Can Provide a Balance of Flexibility and Support
Welcome to the Post-Protocol Era
The Financial Advisor Recruiting Protocol authors inadvertently created a monster, so it’s no wonder Morgan Stanley wanted out.
OSJs: Add Value and Increase Rep Stickiness with Well-Planned Branch Events
Advisors consider time their most precious resource. By planning an event focused on helping your advisors grow their individual practice, you add value as a branch leader, build loyalty among your advisors and attract new advisors to your group.