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Diamond Consultants: Financial Advisor Recruiting FirmDiamond Consultants: Financial Advisor Recruiting Firm
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Independent Broker Dealers / IBDs

Knowledgebase for Independent Broker Dealers

A specially-curated collection of content focused on the broker dealer world.

My IBD was just sold. Now what?

My IBD was just sold. Now what?

By Mindy Diamond – Advisor Group’s acquisition of American Portfolios Financial Services reminds independent reps whose broker dealer recently sold that whether content or not with your firm, the news is unsettling. So what does an IBD advisor do next?

It’s Game On For Broker-Dealers

It’s Game On For Broker-Dealers

Louis Diamond Quoted – By Jacqueline Sergeant, Financial Advisor – The pandemic has weakened, recession has taken a back seat, advisors have eased up on the brakes and recruiters in the independent broker-dealer space are at the ready, or have already begun, to deliver the goods. All signs for record-pace advisor movement within the industry in the months ahead. Louis Diamond discusses the motivations behind these moves…

Independent Broker Dealers: The Reinvention of an Independent Model

Independent Broker Dealers: The Reinvention of an Independent Model

By Louis Diamond – It’s not surprising that the RIA space often garners the lion’s share of attention both in the media and with advisors considering their next chapter. Yet in a rapidly changing landscape, IBDs have been working hard to evolve their business models and position the firms – and their advisors – for a new chapter of success.

IBD vs. RIA: Which way should an advisor go?

IBD vs. RIA: Which way should an advisor go?

By Mindy Diamond – Every advisor finds himself at this juncture in his professional life: Defining the next steps for his own career and future. When exploring independence and weighing IBD vs RIA options, there are 5 factors to consider.

Buy the Book: 5 Ways to Look Better to a Seller

Buy the Book: 5 Ways to Look Better to a Seller

By Allison Brunwasser – Whether you’re an employee at one of the major firms, an independent advisor with a broker dealer or the principal of your own RIA, acquiring a book of business is a topic that has likely captured some of your mindshare. Yet it’s a crowded marketplace with many competing would-be buyers. The good news is that there are several ways for a buyer to differentiate from the pack—and you may have some already in place.  

5 Trends from 2017 that Proved the Resilience and Relevancy of the Independent Space

5 Trends from 2017 that Proved the Resilience and Relevancy of the Independent Space

By Mindy Diamond and Barbara Herman – The past 12 months within the independent broker dealer (IBD) and registered investment advisor (RIA) space can certainly be defined as a period of growth and increased validation—but not without feeling the disruption of a tumultuous business and regulatory environment.

3 Key Elements of the Perfect Broker Dealer Partner Profile

3 Key Elements of the Perfect Broker Dealer Partner Profile

By Deborah Aronson – Whether you’ve been married to a broker dealer for the past several years and are searching for a new partner, or you’re exploring the independent broker dealer space for the first time, there’s a new set of factors to consider in a post-DOL world.

Surviving the Rumor Mill in the Financial Advisory World

Surviving the Rumor Mill in the Financial Advisory World

By Barbara Herman – This is an industry where rumors frequently abound. From headlines to hearsay, the stories start out as whispers then circulate fast and furiously. There are the ones that tell of a major firm being on the block or the others of a firm exiting the Broker Protocol. Each creates feelings of uncertainty and concern, and can lead advisors to speculate about what lies ahead. What makes it even more confounding is that sometimes there actually is some truth to the buzz.

The 3-Year Challenge: Is your firm still right for you?

The 3-Year Challenge: Is your firm still right for you?

By Mindy Diamond – With an industry landscape that offers more choice and opportunity than ever before, advisors have little excuse to be living anything but their best business lives. Yet day-to-day relationship management and investment decisions take priority, so few rarely stop and take a close look at whether or not where they are is still serving their clients and business best—especially if they are not all that unhappy.

Opportunity abounds for larger-producing advisors, but what about their lower AUM colleagues?

Opportunity abounds for larger-producing advisors, but what about their lower AUM colleagues?

By Mindy Diamond and Barbara Herman – The world of the independent broker dealer is spinning fast and consolidation seems to be the watchword on everyone’s mind these days. Mega-firms like LPL gobbling up smaller BDs like those under the NPH umbrella is something we are likely to see much more of in the coming months.

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