On The Virtues Of Not Settling
Embracing Change Achieving Long-Term Growth and Goals Not Letting the Other Shoe Drop Resistance to change is more or less a natural part of life. Change can be a scary thing that people go out of their way to avoid when possible and the fear of the unknown is enough to make people settle for […]
Staying Compliant With Russian Sanctions
Current Sanctions on Russia Keys to Staying Compliant Keeping an Eye on the OFAC Barred List The past few weeks have been riddled with constant updates coming from Ukraine after the Russian invasion began on February 24th. In response to the attacks against Ukraine, the United States has put out new sanctions that target Russian […]
Should I Stay Or Should I Go?
Weighing All Your Options Evaluating Your Current Situation Preparing for a Better Future There comes a time in all advisors’ careers when they question where they are and start thinking about what life might be like if they were to transition to a different firm — and for some advisors, this question may come up […]
It’s Time To Reconsider Forgivable Loans
An Inside Look at Recruitment Incentives The Ever Watchful Eye of Regulators Creating Strong and Lasting Relationship Big incentives is the name of the recruiting game these days. Financial advisors have come to expect big deals and enticing offers from the firms looking to recruit them — and their expectations are being fulfilled. These deals […]
A New Shift In Recruiting Deals
The Rise of Fee-based Business A Closer Look at Advisory Assets The Importance of AUM We’ve seen a shift happening recently in broker-dealer recruitment deals. It started with LPL Financial and now Commonwealth Financial Network is following suit and changing from production rates to asset levels when calculating transition assistance for recruited advisors. This shift […]
Seeing The Big Picture Of Your Business
Finding New Opportunities for Growth Evaluating Your Current Situation Exploring All Your Options Making the decision to switch broker-dealers isn’t one that advisors take lightly. It takes time and careful consideration to make the right move to a new broker-dealer, as well as plan to make sure the transition goes smoothly. With clients taking top priority […]
21 Questions You’ll Almost Certainly Be Asked During Your Transition
If you’re considering moving to a new broker dealer you may be asking yourself what bits of information you will need to provide a prospective BD in order to get the best, most accurate offer. We’ve put together a quick graphic to show 21 pieces of information you will almost certainly need to have access […]
3 Reasons To Consider Independence in 2022
The Rise and Accessibility of Independence Taking Greater Control of your Business Guilt-Free Client Investment Guidance The road to independence has been successfully navigated by many advisors over the years, but today’s landscape looks a lot different than it did even a few years ago. Why? With technology advancements across areas such as practice management […]
Reg BI Basic Requirements Firms Failed To Meet
Failing to Meet Basic Requirements The Importance of Disclosures Preparing for Increased Enforcement It should not have come as a big surprise as there were warnings not too long ago that the Securities and Exchange Commission (SEC) was going to start cracking down on the Regulation Best Interest (Reg BI) after being relatively quiet on […]
Why Now Is The Time To Go Independent
Controlling Your Own Destiny Endless Creative Possibilities Earning the Bigger Bucks Making the move to independence might feel like a huge undertaking, and often times, it creates enough anxiety for advisors to put the idea on the backburner or bury it in their minds. However, the reality of the situation is that for the past […]