There are a lot of changes happening in the financial services industry, and perhaps you’ve been thinking about making a move. Certainly no one knows what’s right for you (except you), but here are some things to think about.

What to consider if you’ve been looking at firms to join:

  • Is the firm’s culture and advisor style a match with yours?
  • Do they focus on financial planning, portfolio construction and investment selection, or are they focused on a particular product? Can they handle the full range of what you offer or would like to offer?
  • Are they involved with local community groups?
  • Do they have high ethics?
  • Does the firm have a reputable, established brand? Do they spend enough on marketing their brand, or will you have to do all the heavy lifting?
  • Does their compliance department offer training and help, or just punitive, strict editing?
  • How committed is the firm to technology, upgrades and IT security?
  • Do your clients remain yours or are they considered company property?
  • What are the compensation arrangements? Does the firm embrace a hybrid approach (commission + fees) or is fee-only*?

Whether you’re a consummate entrepreneur who wants to expand your own horizons or you’d like to join an RIA, we can help. Talk to us: 800.440.1088.



*Further reading about AUM / fee-based / commission compensation methods: