Blog

Are We Witnessing the End of the Broker Protocol?

Are We Witnessing the End of the Broker Protocol?

By: Charlie Latimer, Director of National Recruiting
Published December 6, 2017
Whether you are an institutional advisor considering becoming an independent advisor or you’ve already made the jump to independence, you are no doubt closely following the exit of Morgan Stanley and UBS from the Broker Protocol. The Broker Protocol is a voluntary agreement that …

PAG Elite Retreat: Top Financial Advisors Gather in Nashville

PAG Elite Retreat: Top Financial Advisors Gather in Nashville

By: Abby Salameh, Chief Marketing Officer
Published November 22, 2017
Howdy y’all! One of the things I enjoy the most about my role at Private Advisor Group is facilitating opportunities for our advisors to become even better at what they do by fostering a sense of community. One way that Private Advisor group does this is through …

Five Steps to Protect your Advisory Business from a Cyber Attack

Five Steps to Protect your Advisory Business from a Cyber Attack

By: Charlie Latimer, Director of National Recruiting
Published November 15, 2017
The financial industry could be the most vulnerable sector to cyber attacks, with troves of personal information and financial information tied to trillions of dollars in wealth. Each day another high profile cyber attack seems to take place somewhere in the world. Recent examples of massive …

Advisor Collaboration: The Financial Times Top Advisors Forum 2017

Advisor Collaboration: The Financial Times Top Advisors Forum 2017

By: Abby Salameh, Chief Marketing Officer
Published November 8, 2017
Perhaps the most valuable time spent away from the office is when we have the opportunity to learn and collaborate with others. Attending the Financial Times Top Advisors Forum in New York last month was just such an occasion. As an attendee this year I …

October 2017 Financial Market Update from Guy Adami

October 2017 Financial Market Update from Guy Adami

By: Guy Adami, Director, Advisor Advocacy
Published October 25, 2017
We are right smack dab in the middle of what has been an impressive earnings season. Although strong EPS has been a constant for quite some time, we are finally starting to see the commensurate revenue growth that has been noticeably absent. Without question, that is a …

Five Trends That Will Shape the Financial Advisory Industry in 2018 and Beyond

Five Trends That Will Shape the Financial Advisory Industry in 2018 and Beyond

By: Charlie Latimer, Director of National Recruiting
Published October 18, 2017
It’s interesting to sit back from time to time and ponder the forces shaping our industry. From my perspective, I can’t help but feel like there’s a tug of war in our midst, a battle of interests pushing and pulling on each other and inevitably drawing …

Think Like a Business Owner: Five Best Practices to Find Success as an Independent Financial Advisor

Think Like a Business Owner: Five Best Practices to Find Success as an Independent Financial Advisor

By: Abby Salameh, Chief Marketing Officer
Published October 11, 2017
There are a lot of intangibles when you’re a business owner, and being an independent financial advisor means you are a business owner. Owning a business can be a daunting task, especially if you are coming from a full-service firm where you were accustomed to having things …

Community. It Makes a Difference for Independent Financial Advisors.

Community. It Makes a Difference for Independent Financial Advisors.

By: Abby Salameh, Chief Marketing Officer
Published October 4, 2017
As I went to my third charity event of the season last week, the Invest in Others Awards Gala, which recognizes and honors financial advisors who give back in their communities and across the globe, I was reminded of an aspect of the financial advisor …

Networking for Financial Advisors: Add it to Your Growth Strategy

Networking for Financial Advisors: Add it to Your Growth Strategy

By: Abby Salameh, Chief Marketing Officer
Published September 20, 2017
Networking can be a powerful growth strategy for financial advisors. That said, many advisors don’t take advantage of networking opportunities. Why? Most will say they don’t have time, but successful advisors know that networking can be the biggest key to unlocking future business success. Advisors should focus …

How to be Financially Prepared for Disasters like Hurricane Harvey

How to be Financially Prepared for Disasters like Hurricane Harvey

By: Jim Perhacs, Guest Blogger and Managing Director, with Kevin Sullivan, Guest Blogger and Director of Compliance
Published September 13, 2017
On August 25, 2017, Hurricane Harvey made landfall in the U.S. causing unbelievable devastation along the Texas coast and displacing thousands of people. My heart goes out to those families and businesses who were impacted by …

Joining an Independent RIA: Take Three Steps in the Right Direction

Joining an Independent RIA: Take Three Steps in the Right Direction

By: Charlie Latimer, Director of National Recruiting
Published September 6, 2017
With summer winding down and the crisp fall weather just around the corner, here are three actions you can take now if you have been considering changing broker-dealers. Knowing your worth and market value, understanding your contractual obligations and recognizing the importance of the RIA model …

Finding the Successor to Your Business. Where Can You Find the Next Generation of Advisor to Take Over Your Practice?

Finding the Successor to Your Business. Where Can You Find the Next Generation of Advisor to Take Over Your Practice?

By: Abby Salameh, Chief Marketing Officer
Published August 16, 2017
Originally published at WealthManagement.com as a special feature in the Mid-Year Outlook 2017
It comes as no surprise to learn that over 65% of financial advisors have no fully documented succession plan according to a recent study Private Advisor Group conducted. After all, advisors …

Are You One SEC Audit Away from Being Out of Business?

Are You One SEC Audit Away from Being Out of Business?

By: Kevin Sullivan, Guest Blogger and Director of Compliance
Published August 9, 2017
It seems like everyone wants to be an RIA these days. With the bureaucratic mindset and regulatory overreach at many wirehouses and broker-dealers, I get it. More and more gets piled on to the advisor. Why not break away and go it …

Broker-Dealer Dissatisfaction: Stories from the Front Lines of Recruiting

Broker-Dealer Dissatisfaction: Stories from the Front Lines of Recruiting

By: Charlie Latimer, Director of National Recruiting
Published August 2, 2017
A single occurrence or event may be random. Two gets your attention. Three? Three redirects your energy. This past week I had three conversations that resonated with a common theme: broker-dealers continue to operate under economic stress. As a result, service levels drop off, rash platform …

Up, Up and Away! The Stock Market Continues to Defy the Gravity of Headline News

Up, Up and Away! The Stock Market Continues to Defy the Gravity of Headline News

By: Guy Adami, Director, Advisor Advocacy
Published July 26, 2017
It seems like these days, the markets are making new all-time highs. It is seemingly impervious to negative headlines and events that historically would have derailed the moves higher. For further proof, one needs to look only at the CBOE Volatility Index®. Currently we find …