Added on October 2016 in Form an RIA
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Summary: Over time, the pain of staying in a wirehouse environment can outweigh apprehension over the work it takes to leave, two veteran advisers told participants during a Financial Planning webinar covering the challenges of going independent.
Added on September 2016 in Form an RIA
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Summary: In recent months, there has been an upsurge of serious interest from traditional brokers in becoming registered investment advisers, reversing a recent trend.
Added on September 2016 in Form an RIA
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Summary: A TD Ameritrade Institutional survey this year found that among brokers considering a switch to the registered investment adviser model, there are three main fear factors that keep them pulling the trigger: financial uncertainty, business operation risks and the potential for losing clients.
Added on September 2016 in Form an RIA
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Summary: For some time, banks and credit unions have been urging customers to change their business from transactional to fee-based. Those who have resisted have a variety of reasons supporting their status quo position. However, at this point, conversion appears to be almost mandatory.
Added on September 2016 in Form an RIA
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Summary: Financial advisory firms that find themselves on an aggressive growth track should be mindful of where they might be headed, because every stage of growth comes with unique challenges.
