Added on April 2026 in Join an RIA
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Summary: Advisor recruitment and retention remain a challenge across the industry with high attrition numbers; competition for the same pool of talent; and expectations of advisors in terms of compensation, support and career paths. To learn more about these issues, we spoke with Megan Glover, Chief People Officer at EP Wealth Advisors and Connor Sung, Director of Practice Management at eMoney Advisor.
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Summary: We are all going to age and, one day, will need to transition out of our profession. This shift can either be smooth and uneventful to our clients, or it can be jarring and unnerving, causing clients to lose confidence and seek out a new advisor.
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Summary: Advisors want to learn how to help protect clients against life, aging and investment risk.They seem to be less interested in learning how to help clients handle more specialized kinds of life challenges.The American College of Financial Services has published data supporting that view of advisors’ goals in a new summary of results from a recent survey of 386 independent advisors at RIA firms
Added on January 2022 in Join an RIA
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Summary: The most successful advisor transitions occur when all parties are fully focused on the process every step of the way. Transitions have a plethora of moving parts, and without full engagement from the advisory team involved, it becomes increasingly difficult to facilitate the change on your preferred (and in most cases, mission-critical) time line. Here is an example of a recent transition, focusing on two critical keys to success I have gathered from my experience in working with advisors.
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Summary: Transitioning away from a broker dealer to launching your own independent RIA is no small feat. At times, the sheer number of “to-do(s)” on a list and the required details can seem overwhelming. But having successfully transitioned dozens of advisors to the independent space, I strongly recommend advisors take a deep breath and strategically work through the comprehensive project plan.
