Summary: A TD Ameritrade Institutional survey this year found that among brokers considering a switch to the registered investment adviser model, there are three main fear factors that keep them pulling the trigger: financial uncertainty, business operation risks and the potential for losing clients.
 Even as our assets under management grew, our expenses remained the same. This is a key difference between the RIA and the independent broker-dealer model, where a firm’s expenses are largely based on the assets they manage.”Ryder Brose, partner at Baker Brose & Mitsutome Wealth Management. |
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