Best practices for switching firms and attracting new talent.
Transition Resources
Don’t Make a Move Without Considering These 5 Things
As a successful advisor, you may receive tempting transition opportunities. The chance to start anew, combined with a serious financial offer and other rewards, can be alluring.
Charting your own course: Discover five business models for the modern RIA
For years, financial advisors have sought the control that the Registered Investment Advisor (RIA) model offers. Going independent unlocks more…
Forward Momentum: Why Elite Teams Claim Their Future as RIAs
The RIA model is leading the growth in the wealth management industry—as billion-dollar teams redefine the landscape. See why.
5 Reasons Why You Should Move Your Practice to a Regional Broker-Dealer
Last fall, several national firms struck a blow to equitable advisor recruiting by exiting the Broker Protocol—a 13-year-old industry truce protecting member firms who recruit against one another from legal action (so long as they follow protocol guidelines).
Schwab’s Tim Oden at Advisor Hub’s Industry in Transition Summit
Schwab’s Tim Oden at AdvisorHub’s An Industry in Transition Summit.
3 Advantages to Going Independent
Independent advisors make up one of the fastest growing segments in the financial services industry. If you’ve ever thought about going independent, congratulations — you’ve taken the first step towards freedom.
Blinded by the Light – Wells Fargo Offers Advisors ‘Too Good To Be True’ Deals
Wells Fargo is under siege from every angle and it is easy to understand why. The mountain of corporate missteps, questionable ethics, and outright fraud have resulted in a series of investigations and fines for the once storied wirehouse, the ramifications of which have yet to be fully realized.
What FAs Can Learn From LeBron
LeBron allowed himself to be recruited. He did it quietly, did his homework, looked long term and asked himself what team he wants to grow with and took on some risk. Where do you want to go in your career?
Our story of independence: Concentus Wealth Advisors
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Separating From Your Broker-Dealer: Making It Through the Minefield
Early decisions that are made at the broker-dealer, most often before you are even aware of the termination, can affect you for as long as you remain in the industry.
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.