Added on February 2015 in Join an RIA
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Summary: It was about 18 months ago that the principals at Denver-based Capital Investment Counsel were faced with a conundrum about the future of their wealth management firm.
Added on February 2015 in Join an RIA
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Summary: After working more than 35 years at Merrill Lynch, advisor Don O’Neal decided in early 2013 to make a switch. Along with his longtime partner, Teresa Brokaw, he packed up and joined a rival wirehouse. But instead of becoming a captive broker, the pair signed up with the Wells Fargo Advisors Financial Network, or FiNet, the firm’s independent channel.
Added on February 2015 in Join an RIA
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Summary: As a Financial Advisor and a steward of your firm’s future, you may be contemplating changing firms and moving your business because it’s in the best interest of all relevant stakeholders.
Added on February 2015 in Join an RIA
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Summary: There were fewer financial advisors plying their trade in 2014 than in 2013, according to a new report by Cerulli Associates. In fact, the research firm sees in last year’s numbers the continuation of a trend in FA head count erosion — spearheaded by losses in the wirehouse channel.
Added on February 2015 in Join an RIA
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Summary: For an advisor, a prospective new firm and a nice up-front check might be the best thing since sliced bread, but if a sizeable portion of the client base doesn’t follow, the move could prove disastrous. So before an advisor’s thought process starts to revolve around nicer office space, greater payout, or the ability to do more business, he or she must first consider things from their clients’ perspective.
