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The Case for Joining an RIA Part 2

The Case for Joining an RIA Part 2

Published October 26, 2016
You have had a great run with your career to this point – and things don’t necessarily have to change –but you know something is knocking at the door: the independent model. Within this model, advisors can either opt to join an independent broker-dealer, start their own RIA or join an existing …

The Case for Joining an RIA and the Considerations You Need to Make

The Case for Joining an RIA and the Considerations You Need to Make

Published October 19, 2016
The next four blog posts will focus on how and why an advisor should think about moving to an RIA. Or, more specifically, what an advisor should consider when thinking about joining an existing RIA. With all the change about to occur in our industry, it will be more critical …

Rethinking The Surging US Dollar

Rethinking The Surging US Dollar

By: Guy Adami, Director, Advisor Advocacy
Published October 12, 2016
Despite yesterday’s sell off in the S&P 500, we still find ourselves a mere 2% off the all-time high of 2,193.81 made on August 15th. To the casual observer, everything is fine and this is just a very minor blip in what has been a …

Why Coaching Works for Financial Advisors

Why Coaching Works for Financial Advisors

Published October 5, 2016
In the 25 years I have been in this business, I have seen advisors struggle with executing a plan. It doesn’t matter what the plan is (marketing, technology, growth), financial advisors cannot seem to follow through and complete an initiative they started. By no means is it their fault. They are oftentimes …

The Real Economic Impact of the New DOL Fiduciary Rules on Financial Advisor Compensation

The Real Economic Impact of the New DOL Fiduciary Rules on Financial Advisor Compensation

Published September 21, 2016
There’s been plenty of coverage of the DOL rules that will take effect on April 10, 2017, so no need to beat a dead horse. However, what isn’t much talked about is the economic impact those conflict of interest rules will have on advisor compensation. There’s no question that the amount of …

A Guy Adami Coachable Moment: Behind the Scenes of the Fed’s Potential September Interest Rate Hike

A Guy Adami Coachable Moment: Behind the Scenes of the Fed’s Potential September Interest Rate Hike

By: Guy Adami, Director, Advisor Advocacy
Published September 14, 2016
At 52, I continue to be astonished that some of my most lasting impressions have come from coaches. These “coachable moments” typically consisted of a stern tongue lashing and were often accompanied by flying chairs, tables, etc. Oddly enough, such lessons didn’t take place after we lost …

Five Things to Jump-Start Your Financial Firm Growth This Fall

Five Things to Jump-Start Your Financial Firm Growth This Fall

Published September 7, 2016
As summer winds down and the air turns crisper and cooler, it’s time to refocus energy around making the 4th quarter as productive as possible. With the children and grandchildren back in school and summer Fridays over, these five activities should generate some additional growth opportunities for your financial firm without much …

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