May 13, 2014 By Danielle Verbrigghe As breakaway advisors continue to migrate to independent channels, asset managers that can prove themselves a valuable partner to transition and recruiting teams may be poised to win loyalty, and potentially assets. The independent channels, encompassing RIAs, dually registered advisors, and independent brokerages, have expanded in recent years, as advisors […]
Our weekly insights for advisors: Articles authored by our team designed to broaden your perspective and arm you with knowledge—because knowledge is power.
March 7, 2014 – By Paul Golden Wirehouse advisor mobility will increase significantly in 2014 as retention packages expire and the independent route becomes more attractive, according to a FundFire reader poll and expert interviews. Roughly 63% of FundFire voters said wirehouse movement will rise this year compared to 2013, making it the poll’s most popular […]
Diamond Consultants has created a proprietary tool that helps sophisticated financial advisors through the decision making process when considering a change of firm or model. The tool is depicted as an infographic and is called “Strategic Exploration and the Road to Taking Control of Your Professional Destiny.” Mindy Diamond, President and CEO of Diamond Consultants, […]
September 20, 2013 Finra will send a proposed rule to the SEC requiring brokers to inform clients of large incentives they receive for switching firms, the regulator announced yesterday. The controversial proposal, which was a long time coming, won’t be finalized until the SEC receives and reviews public comment, and the agency has […]
September 19, 2013 The brokerage industry’s self-regulator Thursday approved a proposal that would require brokers to tell their clients about any big bonuses they receive when they change firms. The major brokerages rely heavily on recruiting already successful brokers, but the bonuses that are paid have always been a private matter. Read more… […]
Recent News & Articles
- What it Takes to Build an Independent Firm Today for Maximum Value Tomorrow
- Beware: Sunset Agreements Can Have Hidden Pitfalls For Next Gen Advisors
- Private Advisor Group’s New Affiliation Model Faces Competition
- Are You Really the One Who’s Driving the Bus?
- Independent advice in 2019: new adviser structures and moving upmarket