Getting The Most For Your Business When Selling

Prepping Your Practice for the Big Sale  Getting Your House in Order The Power of a Practice Valuation After coming off another record-breaking year in 2020 for RIA mergers and acquisitions, 2021 proved to be another strong year in M&A activity — marking the eighth consecutive record-breaking year. In fact, according to a recent report […]

Avoid These 3 Big Transitioning Missteps

Understanding & Looking Beyond the Offer Keeping It Under Wraps – Mums the Word The Critical Role of the Broker Protocol Making a move to a new firm can be the best way to grow your business and keep your clients happy. It is an exciting time as you pursue finding a new and better […]

Reg BI Enforcements Are Looming. Is Your BD Ready?

Heightened Enforcement of Regulation Best Interest Where Your BD Stands on Policies & Procedures  SEC’s Low Hanging Fruit and Beyond  It’s time to start preparing as the Securities and Exchange Commission (SEC) is looking to ramp up the enforcement of Regulation Best Interest (Reg BI) after being quiet about it since the retail investment advice […]

Are Team Based Practices In Your Future?

The Power of Team Practices Bringing Higher Value to Clients Succession Within a Team Approach  In the ever-changing financial industry landscape, broker-dealers are constantly finding unique ways to attract new advisors and stay competitive. And, that’s good news for advisors that are looking for a new and better home for their business. A big trend […]

Four Questions Every Financial Advisor Should Be Asking Right Now

Omicron’s Effect Preparing for the New Year Re-evaluating Your Firm 2021 is finally in the rearview mirror, and, after another tumultuous year, it’s time to reflect on all that you’ve learned in the past 12 months and then bring your focus to all that’s to come in 2022. While many were hoping the new year […]

Is Your BD Ready For The Next Wave

The Need for Robust Technology The Effect of the Omicron Variant The Importance of a Trustworthy B-D Most of us thought that, by this point, COVID-19 would be in our rearview mirror and life would be back to normal – or at least a more stable new normal. But that’s far from reality. The recent […]

How A Transition Consultant Helps Financial Advisors Switch Firms

The Path to a Successful Transition Unmatched Experience and Expertise  Zero Risk with All the Reward Advisor transitions continue to be on the rise even with the unprecedented pandemic changing the industry as we know it. Our most recent Financial Advisor Transition Survey Report shows that since 2015, the number of advisor transitions are up […]

A New Home For The New Year

New Year’s Resolutions Personal Resolution Coach Transitions Made Easy Every year, people all around the world take part in the tradition of making New Year’s Resolutions. As soon as the calendar hits January 1, it’s a ‘new year, new me’ mentality. People try to start the year strong with ambitions of developing new habits and […]

Want to Set Smart Goals for 2022? Start With A Practice Valuation.

Start the New Year Right Creating Strong 2022 Goals  Know Where You Are and Where to Go  The end of the year always finds a way to sneak up on us. It seems like just the other day we were trying to sneak in last-minute trips before the school year started and now, just like […]

Why A Broker Dealer Is The Answer For Diversification

The So-Called Decline of Broker-Dealers Diversifying Portfolios Alternative Investments It comes as no surprise that the number of RIAs has been on the rise over the course of the last 10 years. As more and more advisors are breaking free from wirehouses and opting for independence, many are turning to the RIA model. As a […]