Added on November 2018 in Join an RIA
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Summary: [Podcast] Not every wirehouse advisor who moves to independence makes the break in one move: Sometimes, the road involves a series of smaller steps. Such was the case for Alex Goss, president of Goss Advisors, a $6 billion hybrid-RIA based in New Orleans. His path began in the wirehouse world, which he left for the independent broker/dealer space before launching his own firm—now one of the leading platforms for prospective advisors.
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Summary: The Securities and Exchange Commission's review of its advertising rule is raising hopes that it will result in easing investment advisers' use of social media.
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From Mature Solo Practitioner in North Carolina
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From Market Dominator, Metropolitan San Francisco, CA Area
Added on November 2018 in Join an RIA
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Summary: More than two years ago, our team began to explore whether the registered investment adviser platform was better for us than the independent broker-dealer world we were in. Although business was good, we felt it would be beneficial to learn more about the potential for flexibility and technology that being an RIA could offer.
