For Firms That Retain Advisors; It’s Not Just About Culture

Each week there are multiple stories describing teams and clients that have left one firm for another. Wire to Wire. Wire to Independent. RIA to RIA. There seems to be no end to advisor movement in the industry. Except that’s not entirely true for some firms. While it’s routine to see advisors leave for greener […]

COVID Mandates Annoy Advisors; Big Banks Keep Sending Mixed Signals

COVID-19 quickly became a politically charged topic as it found it’s way into every corner of our lives. We aren’t here to talk politics, but rather the realities faced by advisors and unnecessary mandates being enforced at their places of employment. At different firms across Wall Street there are varying degrees of mandates and penalties […]

On The Virtues Of Not Settling

Good Enough

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?

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

21 Questions

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

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 […]