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A Best-of-All-Worlds Model: Full-Service Independence with Equity Upside

Added on March 2019 in Join an RIA
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Summary: [Podcast] With over two decades in the wealth management industry, Jim Gold watched “the quality of life erode dramatically” at the wirehouse and felt that the window of opportunity to build something better was open. So in 2013, he left the senior leadership ranks at Morgan Stanley and along with several others built Steward Partners as a “reaction to the cultural shift inside of the traditional firms,” and with a nod to the best of “the old Wall Street model of a partnership.”

Why This RIA Founder Broke Away From Merrill & HighTower

Added on March 2019 in Join an RIA
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Summary: Leo Kelly left behind big firms like Merrill Lynch and HighTower to launch his own independent firm two years ago so he could customize and grow his firm the way he wanted.

An Attorney's Advice on Navigating Transition

Added on February 2019 in Join an RIA
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Summary:[podcast] The acceleration of advisor movement, particularly to the independent space, and the proliferation of a hyper-compliant culture within the walls of the big brokerages is keeping people like attorney David Gehn very busy these days.

A Diehard Merrill Advisor's Journey to Independence

Added on February 2019 in Join an RIA
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Summary: [Podcast] Like many other advisors who chose to go independent, Michael Henley found himself at a point in his wirehouse career when his professional life became more about “jumping through hoops” for the bank, than it was about doing what was best for his clients. The culture had changed enough that he felt his ability to conduct business in a way that was “objective and conflict-free” was no longer possible.

Will big recruiting bonuses move reps to these firms in 2019?

Added on February 2019 in Join an RIA
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Summary: Seeking either to build on or create momentum with potential recruits, three large brokerage networks — Wells Fargo Advisors, LPL Financial and Cetera Financial Group — are beginning 2019 with substantial offers to lure brokers and financial advisers to change employers and move their businesses to a new address.

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