Knowledge and Insight

Meet Bruce Yates - an Advisor Who Transitioned from Wirehouse to Independence, from Commission to Fee, and from a Solo Practice to an Enterprise Firm

Added on March 2013 in M&A Issues

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Succession is Not Selling Out

Added on January 2013 in Plan for the Future

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98% of Completed Profiles are Matched!

Added on November 2012 in Plan for the Future

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7 Protocol Essentials for Breakaway Brokers

Added on May 2012 in Join an RIA

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Summary: Attorney Patrick Burns warns advisors to adhere to the Protocol for Broker Recruiting. He provides 7 steps to follow and tells the cautionary tale of a couple of Merrill brokers who were served with a temporary restraining order. They were caught on video taking files from their office the weekend before their departure. 

Selling the business to junior partners no piece of cake

Added on May 2012 in Plan for the Future

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Summary: At the National Association of Personal Financial Advisor’s conference in Chicago, a panel convened to discuss selling a business to a junior partner. Nearly every one of the 100 or so in the audience said they would like to buy or sell. The panel discussed their challenges and successes of internal succession.