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Summary: Before I moved to FutureAdvisor, I was working for a registered investment adviser with $50 billion in assets under management, expanding their high-net-worth business globally. I received rigorous training, mentorship and great opportunities as the firm expanded. I had every expectation of a long and successful career there. So why leave?
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Summary: A friend of mine recently passed the Series 7, completed his brokerage firm's training program, and became a full-fledged investment rep. Through a combination of hard work and good, old-fashioned luck, he immediately stumbled across a massive wealth-management opportunity.
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Summary: After 40 years with Merrill Lynch, Mr. Rij was joining the legions of advisers who have broken away from the big Wall Street brokerages to join an independent firm or create their own. The trend, which began years ago but gained momentum after the 2008 financial crisis, is slowly reshaping the industry and eroding what had been a dominant position for so-called wirehouse firms like Merrill Lynch.
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Summary: Independence is more than just a transition; it’s a transformation, an opportunity to own what you’ve created and a legacy you can pass on. Here are 20 stops as you travel on your road to independence.
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Summary: Last October was another milestone for us: we broke free of our broker-dealer. Champagne was in order as we created our own RIA and now work as fee-based advisors. If you managed to look up my FINRA record, you will see we have been with a number of BDs over the last few years. In general, the experiences have been far from stellar. Here is why we decided to create our own RIA.
