i can do it
The Pros and Cons of Becoming an Independent RIA

September 21, 2021 |

Once you decide to go down the path of entrepreneurship, while rewarding in many aspects, it is still a psychologically draining experience. At least when you are part of a large corporation, the pressure and anxiety is well known and there are support mechanisms to help as you move up the corporate ladder. This support

The Pros & Cons Of Different Financial Advisory Fee Models

September 17, 2021 |

Historically, financial advisory fees all followed one of a few basic structures. However, financial advisors have used several new compensation structures to remain competitive in recent years, and they can vary significantly. Understanding the various fee models is essential before deciding which financial advisory fee model or models work for your practice. Why Are Different

studying for finra exams
Understanding the Different Types of FINRA Licences and How to Acquire Them

September 08, 2021 |

Obtaining the right securities license is essential in becoming an investment representative, security sales agent, or any other professional in the securities industry. The licensing process is extensive and can be challenging to navigate. Understanding the different types of FINRA licenses and when they’re required will help you establish which exams you will need to

The Psychology of Successful Entrepreneurs

September 07, 2021 |

For financial advisors thinking about starting their own RIA, it’s important to realize that success requires an entrepreneurial mindset.  Every day out on your own can feel like you’re fighting an uphill battle, but this is part of the entrepreneurial spirit. 

regulation best interest for financial advisors
SEC Regulation Best Interest – How Does It Impact Broker-Dealers and Investment Advisors?

September 01, 2021 |

The Securities and Exchange Commission (SEC) drafted the Regulation Best Interest (Reg BI) rule in 2019. Regulation BI provides additional safeguards for investors by setting new standards of conduct for financial advisors and broker-dealers. The implementation of Regulation BI may lead to operational changes for broker-dealers and investment advisers. Under Regulation BI, these individuals have

So You Want to Start an RIA

August 17, 2021 |

Make no mistake, running your own RIA is a business and should always be treated with the same considerations as any business, such as how to handle products and services, operations, sales, marketing, and finances. Though some RIAs may join an existing RIA firm to ease their operational burdens, many RIAs wind up starting their own firms or go on to register as both a broker-dealer and independent investment advisor.