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 […]
How To Keep Your Transition On The Down Low
The Importance of Staying Anonymous How to Keep Your Move on the DL The Power of Support & Guidance When it comes to making a big move, advisors know that keeping your search for a new home under wraps is critically important — but that’s hard to do without having the right contacts and inroads. […]