0 visitor like this article | Viewed 4163 times | 0 comment
Summary: I recently joined an advisory firm I had researched and learned about before accepting its offer. I have a deep background as an advisor, team leader and in sales. I felt this firm offered me the chance to utilize my experience and knowledge and become engaged quickly. The people are great. The firm is top-notch.
Added on March 2018 in Join an RIA
0 visitor like this article | Viewed 3305 times | 0 comment
Summary: How can breakaway FAs be certain they’re not breaking the law when reaching out to former clients? After all, concerns about whether advisors broke their contractual agreements by soliciting old clients to join them at their new firms are at the center of many current disputes between broker-dealer firms and their former FAs.
Added on January 2018 in Join an RIA
0 visitor like this article | Viewed 3372 times | 0 comment
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 October 2017 in Join an RIA
0 visitor like this article | Viewed 3456 times | 0 comment
Summary: Morgan Stanley's decision to leave an industry agreement known as the protocol for broker recruiting is an indication that the firm is working harder than ever to prevent its brokers from jumping ship, industry sources said.
Added on March 2017 in Join an RIA
0 visitor like this article | Viewed 3210 times | 0 comment
Summary: As the principal of a $300mm practice with one of the largest independent broker dealers (IBDs) in the country, “Alan” was feeling that his business had reached a plateau. Oddly enough, this isn’t the first time he’s felt this way. Some 16 years ago, Alan made his initial move to independence by joining a small regional independent broker dealer. After 12 years, he had grown to be the biggest practice there, yet felt constricted by outdated technology, limited platform and a lack of community. Ultimately, he felt as though he had outgrown the broker dealer.
