Institutional Alternatives vs “Institutional Quality” Alternatives


This is an article I wrote which was published in Barron's.  This article highlights some of the differences and risks associated with institutional alternative investments vs. alternative investments that market themselves as "institutional quality". Too often we rush through our due diligence based on a sales or marketing presentation.  Whether it is related to selecting the right investments for clients or evaluating a change of Broker/Dealer, these are important decisions and you should know the pros, cons and risks of that decision.   Reposted from    READ THE ENTIRE ARTICLE HERE   If you’re an advisor who is considering moving from one independent broker-dealer to another, here’s something you should consider: Different platforms often tout their retail alternative-investment products as “institutional quality,” when in fact they’re not. It’s an easy issue for transitioning advisors to overlook. But in doing so, they may ultimately create unwanted risk for their clients and themselves....

Institutional Alternatives vs “Institutional Quality” Alternatives2017-12-13T17:18:07-05:00

Not All Recruiters Are The Same


I wrote this article to highlight the differences for advisors between how consultants are different than recruiters.  In short, a consultant will focus on their clients’ needs, similar to a financial advisor - whereas a recruiter tends to focus more on closing the sale. Read this article to better understand the differences and pros and cons of each.   Reposted from Wealth    READ THE ENTIRE ARTICLE HERE

Not All Recruiters Are The Same2017-12-13T17:18:08-05:00

Top Considerations for a New Broker/Dealer


Too often advisors don't ask some of the most critical questions when evaluating a new B/D.  Too many times advisors select a B/D based on a "feel" or someone else they know that has experience with the B/D.  Changing a B/D can be both time consuming and expensive and making a mistake can really hurt your business and risk losing clients. There are some basic tactics and questions that can help you make sure you are selecting the right B/D for your business. Below is a link pasted to an article published in FA that provides insight into some of the important questions you should ask a prospective new B/D.   Reposted from FA Magazine    READ THE ENTIRE ARTICLE HERE

Top Considerations for a New Broker/Dealer2017-12-13T17:18:08-05:00

What To Do When Your B/D Is In A Crisis


There seems to be a weekly news article about a different Broker/Dealer going through a crisis situation that could have broad implications on their advisors.  Whether it is being sold, having large compliance fines or capital restructuring, these events can have far-reaching implications that can affect their advisors and more importantly the way they do business. These events don't always mean the ship is sinking and you need to find a new B/D.  However, you owe it to yourself and your clients to understand what is really going on and what may be the implications and long term changes as a result of this event. This article walks you through the steps you should take.   Reposted from    READ THE ENTIRE ARTICLE HERE

What To Do When Your B/D Is In A Crisis2017-12-13T17:18:08-05:00

Post the DOL, Recruiting Opportunities are Everywhere


Now that the DOL's rule is public, I expect to see an increase in recruiting volume.  The first quarter saw record inquiries but had fewer advisors moving than previous years.  Everyone was waiting to see what the DOL would do and how it may impact their B/D or prospective B/Ds.  Since the rule has very little impact for most advisors, I expect recruiting to not just pick up, but it could be a record year.  For advisors that are looking around at different B/Ds, make sure you are working with a Consultant that can help select the best choice.  While the DOL had little impact on advisors, it still will have an impact on many B/Ds and their future.   Reposted from Finacial Advisor Magazine   READ THE ENTIRE ARTICLE HERE

Post the DOL, Recruiting Opportunities are Everywhere2017-12-13T17:18:08-05:00

How Do You Sell Your Business For a Premium?


With a ratio of 50-1 buyers to sellers you would think it was a seller's market, yet there are so many practices that sell at a discount.  What do you need to do to sell your practice at a premium?  There are different strategies that you can employ to help increase the price of your business.    

How Do You Sell Your Business For a Premium?2017-12-20T14:33:05-05:00

Should You Be Your Own RIA?


Are you considering becoming your own RIA?  Are you paying attention to what is happening in Washington?  You may want to rethink becoming your own RIA.

Should You Be Your Own RIA?2017-12-13T17:18:09-05:00

Are You Acting Like a Business Owner?


Broker/Dealers say they want you to act like a business owner, but do they mean it?

Are You Acting Like a Business Owner?2017-12-20T14:31:15-05:00
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