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 […]
The Power Of Strong Culture
Culture & Mutual Success Vision Alignment Driving Force of a Move Culture can be a powerful force. Just look at the Cincinnati Bengals who defied all the predictions and earned a spot in the championship. At the beginning of the season, the odds of them making it very far were not in their favor. They […]
Signs Its Time For Change
Not Settling on Complacency Staying Ahead of the Tech Curve Finding Time for Your Clients There comes a time in almost every career when an advisor outgrows their current situation and knows it’s time to move on. However, for many, fear of the unknown prevents them from moving forward. There’s no denying that making a […]
Setting Yourself Up For A Successful Transition
Transitions Continue to Rise Identifying Your Ideal Culture The Dealmakers & Breakers The pandemic has been both a whirlwind and an eye-opener for most. As advisors found themselves working from their own homes, many came to realize that their businesses’ current home is no longer where they want to be. Despite the drastic change in […]
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 […]