The 7 Unintended Consequences of Staying the Course
By Wendy Leung, InvestmentNews.com – While it may seem “safer” to stay put, there are risks in doing so that many advisors are unaware of.
An Advisor’s Guide to Termination: A Proactive Approach to Protecting Your Life’s Work
By Wendy Leung, AdvisorHub – In today’s heightened regulatory environment, risk reduction is often a firm’s top priority—making advisors more vulnerable than ever before.
The Path to Independence: 6 Key Elements to Consider Before Starting Your Journey
By Wendy Leung, WealthManagement.com – Many advisors dream of going independent for the freedom and flexibility to control their business, client service model, and bottom line. And the path to independence used to be simple—for most breakaway advisors, it was a straight line from an employer to an independent broker dealer (“IBD”).
What’s in it for Clients? 7 Ways They Can Benefit from an Advisor’s Transition
By Wendy Leung – FinancialPlanning.com – Many advisors cite “improving client service” as the catalyst for a move—but knowing what the real impact will be is critical.
Why Settle for “Good Enough” When Great is Possible?
By Wendy Leung, WealthManagement.com – In a vastly expanded industry landscape with more high-quality options than ever before, some advisors settle for “good enough” when the potential for “great” is often within reach. What’s holding them back?
RIA, IBD or somewhere in between: Which version of independence is right for you?
By Wendy Leung, ThinkAdvisor – As the interest in attaining freedom, flexibility and control continues to surge among advisors, new independent models are being born at a rapid pace to accommodate them, providing more choice than ever before.
Considering a move? Here’s what financial advisors can – and can’t – say to clients.
By Wendy Leung – When considering a move, it’s natural for advisors to wonder whether clients will follow them to the new firm. Yet the desire to share the news can completely derail a transition to another firm. Here’s what top attorneys recommend when it comes to communicating with clients before, during and after a move.
The New Regional Firms: The Key Advantages That are Getting the Attention of Top Advisors
By Wendy Leung, WealthManagement.com – It’s hard to ignore the recruiting success regional firms have experienced over the last few years. For example, in 2019 Stifel Nicolaus and Raymond James recruited some $20B and $11B in AUM respectively—both firms ranking in the top five of all firms in the entire industry when it comes to recruiting. What’s changed?
Why 2020 is Still Expected to be a Great Year for Recruiting
By Wendy Leung, WealthManagement.com – 2020 was off to a great start for advisors seeking new opportunities. Who could dispute the expansion of the landscape, advances in technology and widespread access to resources once only available at wirehouses? It seemed clear that advisors had more choice and opportunity than ever before. Then COVID-19 hit—changing the course of the year and of our world.
Charting your Course to Independence
By Wendy Leung – Many advisors dream of going independent for the freedom and flexibility to control their business, client service model and bottom line. What sometimes isn’t a part of this “dream” is the prospect of taking on the additional responsibilities that business ownership entails, while emptying your bank account to fund startup costs. The good news is that you don’t have to abandon your dream of independence. An evolved landscape has answered the call—with a vast ecosystem of capital, support and resources available to help you succeed in living out your dream of independence.
