Added on March 2017 in Join an RIA
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Summary: Hardly a conversation with an advisor goes by without discussing the desire to go independent. Having heard a lot about it – the freedom, flexibility, better take-home pay and the ability to build a true enterprise – many are sure that independence is for them. Yet, sometimes after digging deep, meeting with appropriate representatives, and really getting into the weeds during the due diligence process, some advisors reach the conclusion that – for a variety of reasons – what they thought they wanted doesn’t align with what’s ultimately practical.
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Summary: In the long running battle over whether someone who gives professional advice is an "adviser" or an "advisor," the "o" side is clearly winning. An InvestmentNews survey of more than 550 readers found that nearly 83% refer to themselves as an "advisor," versus 17% who call themselves an "adviser
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Summary: In recent years concerns have been aired about the steadily rising average age of the financial advisor community and implications for the quality and quantity of advice available to existing and future clients
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Summary: In Exit Planning, the most important element of successful transfers is financial security for departing owners. This element often is gravely threatened by the prospect of transferring the business to successors (in this case, children) before the owners (i.e., parents) are financially secure.
Added on March 2017 in Form an RIA
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Summary: There are many decisions that breakaway brokers need to make when setting up their own firm, among them its business structure, which will have tax implications.
