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About Independence

Demystifying Compliance for RIAs: What You Need to Know

Demystifying Compliance for RIAs: What You Need to Know

If you’re at a wirehouse or independent broker dealer, compliance is managed for you. But what if you want to launch your own RIA firm? Chris Winn of AdvisorAssist makes the topic less daunting in this conversation that dives into policy setting, how risk differs as an RIA, the relationship to workflow management, a changing regulatory environment and more.

Michael Kitces on Everything Financial Advisors Need to Know About Growth

Michael Kitces on Everything Financial Advisors Need to Know About Growth

Industry rockstar Michael Kitces shares his thoughts on building a thriving practice, why scale isn’t everything, marketing, organic and inorganic growth strategies and much more. It’s a must-listen for every financial advisor and business owner.

Beyond the Numbers: Key Insights from the Fidelity Advisor Movement Study

Beyond the Numbers: Key Insights from the Fidelity Advisor Movement Study

The conversation on “increased advisor movement” may seem anecdotal at times, yet it’s anything but. Scott Gorham, Vice President of Competitive Intelligence at Fidelity Institutional digs into key data from the Fidelity 2020 Advisor Movement Study, with Louis Diamond.

Why Some Firms Are “Outperformers”—An Exclusive Deep Dive into the 2020 Schwab RIA Benchmarking Study

Why Some Firms Are “Outperformers”—An Exclusive Deep Dive into the 2020 Schwab RIA Benchmarking Study

An exploration of the 2020 Schwab RIA Benchmarking Study with Lisa Salvi of Schwab Advisor Services. Beyond key trends, she shares the drivers and habits of top RIA firms, with actionable information for both advisors and independent business owners.

The Year in Review: The 10 Most Valuable Insights on Independence

The Year in Review: The 10 Most Valuable Insights on Independence

A curated collection of the top words of wisdom shared by wealth management industry leaders and top breakaways from the first year of the leading podcast series for advisors exploring the independent space, Mindy Diamond on Independence.

Push vs. Pull: Understanding – and Responding to – the Key Drivers Behind a Move to Independence

Push vs. Pull: Understanding – and Responding to – the Key Drivers Behind a Move to Independence

What’s inspiring folks to jump ship from where they’ve built their life’s work to pursue other firms or even business models? Find out, plus a process that will guide you to answer your own question: Do I stay or do I go?

Mindset, Motivation and Momentum: What’s really driving all the movement to independence – With David Canter, Head of Fidelity’s RIA Segment

Mindset, Motivation and Momentum: What’s really driving all the movement to independence – With David Canter, Head of Fidelity’s RIA Segment

Fidelity’s David Canter provides an inside perspective on why independence continues to be the hottest ticket in town, and what we can expect for the RIA space going forward. [podcast]

Beyond the Risk: What’s Driving Non-Protocol Advisors to Independence?

Beyond the Risk: What’s Driving Non-Protocol Advisors to Independence?

No doubt that the breakaway movement shows no sign of abatement and, in fact, almost every day we learn of yet another advisor who has chosen to leave their traditional brokerage firm for the greater freedom and flexibility of independence. And while any advisor who chooses to leave the mother ship is courageous in giving up the comfort and turnkey support of a major firm, it is especially brave when an advisor from a non-Protocol firm chooses to make the leap.

Building Your Business Today as if You’re Selling it Tomorrow

Building Your Business Today as if You’re Selling it Tomorrow

After years of strong growth, many successful independent businesses find themselves at a plateau. Inorganic growth – via mergers and acquisitions (M&A) or recruiting – offers these firms a way to expand into new markets, improve buying power, gain scale and capture operating leverage. M&A can also increase the metrics on which the valuation of the business is based, and help solve for succession.

Independent But Not Alone

Independent But Not Alone

Independence may sound “isolating” to many financial advisors exploring the space. In this episode, Mindy dispels that myth, exploring how independent advisors can find support, synergy and a community to share ideas. [podcast]

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Recent News & Articles

  • Industry Update: Should You Consider a Move When Markets are Turbulent?
  • Should FAs Be Tested for Cognitive Decline?
  • The Path to Independence: 6 Key Elements to Consider Before Starting Your Journey
  • Ex-Merrill ACTM Chair to Independent Business Owner: A Former Insider’s Point of View
  • UBS Comp Changes Make It Harder to Battle Asset Outflows–Analysis
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