ADVISOR MOVES: TOP INFLUENCING FACTORS IN 2020

In 2020 we saw our worlds flipped upside down and found ourselves adjusting to a new normal filled with face masks and working from the comforts (or not so comforts) of our homes.  Through unprecedented challenges, advisors continued to switch broker-dealers. With everything going on, it’s only natural to say to yourself: “Why would I […]

Top Tech Trends For FA’s

The future is tech Technology gaps  The new normal of remote work Technology is a powerful tool that drives just about everything we do. It’s all around us: in our kitchens, in our cars, even on our wrists. And while there may be a large technology gap that’s evident all across the industry, in terms […]

What JP Morgan Buying OpenInvest Means For You

OpenInvest has been making big headlines this July after being bought by J.P. Morgan. OpenInvest will retain its brand while being integrated into the J.P. Morgan Private Bank and Wealth Management client offerings — however, there are way more changes ahead!  As part of the acquisition, OpenInvest is ending their days as a money manager […]

On Which Shoulder Does Your BD Sit?

We’ve all seen the angel and the devil on the shoulder play out in the movies − after all, it’s a classic Hollywood trope. At the crossroads of an important decision, poof… in come these opposing influencers to try their best to sway the character towards their definition of the right or wrong choice.   Well, […]

Battle Of The Custodial Giants

There’s a heavyweight match brewing in the custodian game, and Goldman Sachs just entered the ring. Goldman is in the beginning stages of building out an RIA custodian and clearing platform. Once complete, they’ll be out there looking to go toe-to-toe with big names like Charles Schwab, Fidelity, and Pershing.  But what’s making this battle […]

Transitions Aren’t What They Used To Be…They’re Better!

We’ve all heard of the headaches that are often associated with transitioning to a new broker- dealer — the pains of repapering, the long transition time commitment, the risk of compliance issues rising and the worst, client attrition. It’s enough to keep you from making the move you’ve always dreamed of or make you seriously […]

AVOIDING A TRO TKO

The past few years have brought a mass exodus of firms leaving the Broker Protocol. With big names like Morgan Stanley and UBS dropping out of the agreement, many have followed suit, upending the financial industry and impacting advisors just like you! Firms initially joined the Broker Protocol to minimize the litigation that was occurring […]