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Primer for Breakaways-Trends and Rationale

Added on October 2013 in Join an RIA
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Summary: Nary has a day gone by without an article about the burgeoning breakaway trend.  And the data support it whether you look at the shift in assets under management or the headcount of advisors themselves.  With that said, I have personally been surprised by the number of wirehouse advisors that concede they know very little about the world of independence.  In fact, a survey of breakaway brokers conducted by Fidelity last year concluded that the #1 obstacle to independence was a lack of understanding about how to do it.

Year 1: Welcome to the Real World

Added on October 2013 in Join an RIA
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Summary: InvestmentNews will be following six recent graduates as they join the financial planning business. In several updates throughout the year, there will be updates on what they will be doing at their jobs, what their expectations are, and if they will be able to develop the types of skills they will need for the future.


9 Myths of Breakaway Brokers Becoming RIAs

Added on June 2013 in Join an RIA
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Summary:  Wirehouse financial advisors will relate to these 9 common fears when considering breaking away to the independent channel.

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. 

Wharton Professor Gives Advisory Model Radical Makeover

Added on February 2012 in Join an RIA
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Summary: Kent Smetters, a Wharton Professor, has created a platform for advisors to be able to scale their practice while serving the underserved Middle America. Veritat is a platform that does the client scheduling, collection of client information, creation of the personalized plans and the portfolio management. The advisor must approve and can slightly alter before it is presented to the client.


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