Added on January 2018 in Join an RIA
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Summary: It’s almost comical. One hundred percent of former wirehouse or regional-brokerage advisors in the independent RIA channel are happier for having made the move. That’s according to a blind survey of 450 FAs by Dynasty Financial Partners — a sponsor that, as an infrastructure provider to breakaway RIAs, has to be pleased with the result.
Added on January 2018 in Join an RIA
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Summary: With the number of CFP Board-approved planning programs growing across the country, prospective advisors have a longer list of choices than ever before. While there are many factors to consider when choosing a program, geography can be important. Advisors looking to hire young planners should take note of the planning programs in their area as well.
Added on December 2017 in Join an RIA
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Summary: Some brokerage firms are concerned that the tax overhaul could lead to upheaval, pushing their employees to set up their own shops or switch firms to lower their tax bills.
Added on December 2017 in Join an RIA
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Summary: Brokerage firms that have already exited the broker-protocol agreement, or are considering an exit, might be missing the bigger picture, according to research by two finance professors at the University of Kentucky.
Added on November 2017 in Join an RIA
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Summary: When LPL announced their purchase of four National Planning Holdings firms, it wasn’t just another day at the office for advisors in the independent broker/dealer space. “I feel like I’m riding a wave of disruptive uncertainty,” one IBD advisor said to me. “Are we next?”
