Best practices for switching firms and attracting new talent.
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.
For years, financial advisors have sought the control that the Registered Investment Advisor (RIA) model offers. Going independent unlocks more…
The RIA model is leading the growth in the wealth management industry—as billion-dollar teams redefine the landscape. See why.
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 AdvisorHub’s An Industry in Transition Summit.
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.
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.
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.