Added on February 2016 in Join an RIA
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Summary: Eric Roberge's career as a financial planner began in frustration. He slogged through mutual fund-related tax work in his first job at J.P. Morgan. He broke out as an advisor just as the market was crashing in 2008. The founder of a firm where he worked dangled the prospect of his buying the practice, but wouldn’t commit.
Added on January 2016 in Join an RIA
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Summary: Wirehouse advisers looking for independence have choices of the type of firms they create or join – independent broker-dealers, existing registered investment advisers or their own RIA. But the option that eliminates the most business worries will require them to surrender up to 25% more of the profits.
Added on January 2016 in Join an RIA
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Summary: As the number of breakaways continues to rise, I regularly talk to teams who want to start their own independent advisory firms. In one recent meeting, I sat down with a group of advisors who were considering the move. As they were talking, I was checking all of the boxes — they had significant experience, they were geographically diverse, they had a loyal client base—but I quickly realized that none of them were on the same page.
Added on January 2016 in Join an RIA
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Summary: The CFP Board has tapped attorney Marilyn Mohrman-Gillis as the inaugural head of its new CFP Board Center for Financial Planning. The center, created to attract and support the next generation of planners through research, forums and new initiatives, launched in January.
Added on December 2015 in Join an RIA
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Summary: For advisors considering the RIA space, a few lessons learned on the client side are key to a successful transition.
