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Whether you’re a solo advisor or a member of a team, there are many things to do to help your transition goes smoothly, such as hiring a competent securities attorney, abiding by the terms of your employment agreement, and making sure you only take the information you’re entitled to. But when you’re leaving as a team, there are several additional points to consider. Read on for some advice on how to successfully transition your team.
Determine your collective and individual goals.
Don’t take for granted that everybody shares the same goals, says Rick Rummage, managing partner and career coach at The Rummage Group, Reston, Va...More
When you’re becoming an independent registered investment advisor (RIA), one of the many choices you have is whether to keep or give up your commission business. It’s not always an easy decision and there are many factors that need to be considered when determining whether to go the pure fee-based RIA or the hybrid RIA route. Read on for some questions to ask yourself as you make your decision.
What’s my asset-base?
It’s important to consider how much of your assets are currently fee-based, as opposed to commission-based. And what’s your product mix? For example, are you locked into proprietary products? Or do you do a lot of variable annuity business, which might not be as compatible with a fee-only model...More | 
