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Knowledgebase for Advisors
Recent news, updates and advice from our blog for financial advisors and business owners.
The latest from our podcast series for financial advisors
Expert Advice for Non-Protocol Moves: What Advisors at Ed Jones and Other Firms Need to Know
One of the most significant concerns advisors have when making a move – particularly those transitioning without the protection of the Protocol – is the fear of legal retribution from their firm. And while advisors successfully transition out of non-Protocol firms each and every day, doing so comes with added risks. In this episode, attorney David Gehn, whose expertise is in representing advisors in transition, shares actionable advice with Jason Diamond. They explore what advisors from non-Protocol and Protocol firms need to consider when making a move, how to position themselves for a “successful” transition with the highest level of portability and the lowest level of risk, and much more. Listen…
2021’s 10 Most Valuable Lessons from Advisors and Business Owners
In this annual digest of some of our best interviews of the year, we take a step back to glean the key lessons candidly shared by advisors who demonstrated unstoppable determination and whose stories contained valuable and relatable lessons for all. These recent breakaway advisors and independent business owners share their motivations to consider change; why they chose independence; their ability to serve clients and grow their businesses; and much more. It’s a “best of the best” show—a single episode that offers key insights from the 2021 season of one of the top podcasts for financial advisors. Listen…
In the News
In-Person or Remote: Either Works, but it’s Decision Time
June 27, 2022 Louis Diamond Quoted by Emily Dattilo Ambiguity in a company’s work arrangement policy can lead to lost…
Read MoreMindy Diamond: It’s the Best Time in Years for Advisors to Switch Firms
June 13, 2022 Mindy Diamond Interviewed by Jane Wollman Rusoff Firms are offering quality advisors transition packages “at real high-water…
Read MoreIntegrated Partners Introduces W-2 Employee Model
June 9, 2022 Louis Diamond Quoted by Diana Britton These employee advisors go through a two-week intensive training program when…
Read MoreHow a bear market will affect advisors who want to switch firms
June 7, 2022 Wendy Leung Quoted by Jameson Berkow Switching dealers may prove more challenging for advisors amid the threat…
Read MoreIntegrated Partners to Enter the M&A Business
May 27, 2022 Louis Diamond Quoted by Diana Britton Integrated Partners, a Waltham, Mass.-based hybrid registered investment advisor with $13…
Read MoreRaymond James introduces channel No. 4, a user-friendly RIA model after its three current channels — IBD, RIA and captive — make negligible net recruiting advances
May 19, 2022 Louis Diamond Quoted by Lisa Shidler Raymond James Financial prospects far too often in 2021 checked none-of-the-above…
Read MoreTransition Announcement: UBS Team with $850mm AUM Goes Independent with Sanctuary Wealth
30-Year Industry Veterans Managing $850mm in Client Assets Leave UBS for Independence with Sanctuary Wealth We’ve been in the business…
Read MoreUBS Loses $850 Million Advisor Team to Sanctuary Wealth
April 29, 2022 By Andrew Welsch A UBS advisor team led by two industry veterans has parted ways with the wirehouse to…
Read MoreTransition Announcement: $3mm Merrill Team from Philly Launches RIA Firm Presilium Private Wealth
For this team, the pandemic served as an opportunity to reflect on the past and how they could better serve…
Read MoreNearly All Merrill Brokers Expected to Shift to Teams by 2030
April 8, 2022 Jason Diamond Quoted by Jeff Berman Brokers at Merrill Lynch Wealth Management are increasingly shifting away from…
Read MoreThe Form U5 Is A Powerful Weapon, Part III
April 8, 2022 Louis Diamond Quoted by Jennifer Lea Reed If there is a chance for brokers to influence the…
Read More$3.5-Mln Merrill Team Launches RIA, LPL Pulls from UBS, Morgan Stanley
April 6, 2022 By Jake Martin Breakaway teams from Merrill Lynch, UBS Wealth Management USA and Morgan Stanley have flown…
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