Knowledge and Insight

Why Aren't More Advisors Succession Planning?

Added on March 2013 in Plan for the Future

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Summary: At Fidelity’s workshop, Realizing the Value in Your Firm, Fidelity takes a holistic approach to getting advisors to think about succession.  They encourage the advisor to lift their gaze above their present practice and envision their life after their practice has transitioned. With a point on the horizon to head towards, Fidelity guides the advisors through the practice management steps towards succession planning.

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.