About

"I wish every broker working within the wirehouse environment would get in the habit of reading Wales' column in Advisor Perspectives" - Bob Veres

🔍 As Seen In:

• "IBD Elite 2023: What the heck is an OSJ?" (Financial Planning)
• "The Best $20 You Can Spend on Marketing" (Advisor Perspectives)
• "What is the Best “Independent” Path?" (Advisor Perspectives)
• "Why a $1bn RIA's Wealth Advisory Head Left To Fly Solo On Mariner’s Platform" (Citywire RIA)
• "Do Broker/Dealers or RIAs Have Better Technology" (Advisor Perspectives)
• "Father-Son FA Duo at Raymond James Launches RIA for More Control" (Financial Advisor IQ)
• "The Two Big Hurdles to Starting an RIA" (Advisor Perspectives)
• "Beware False Prophets and Pundits" (Advisor Perspectives)
• "Weekend Content for New Financial Planners - May 14" (The Advisor Project)
• "Brokers Cannot Depend on Managing Assets" (Advisor Perspectives)
• "How Broker/Dealers Can Ruin a Rep’s Career" (Advisor Perspectives)
• "How Custodians Set Interest Rates on Swept Cash" (Advisor Perspectives)
• "The Toxic Lesson from Dry Cleaners" (Advisor Perspectives)
• "What if My Broker-Dealer Terminates Me?" (Advisor Perspectives)
• "The Super-OSJ Model is Doomed" (Advisor Perspectives)
• "How to Explain the RIA Model to Clients?" (Advisor Perspectives)
• "Do You Rent or Own Your Advisory Practice?" (Advisor Perspectives)
• "How to Double the Value of Your Practice" (Advisor Perspectives)
• "The Absurdity of Annual Compensation Plan Changes" (Advisor Perspectives)
• "Is Your Advisory Practice a One-Armed Basketball Player?" (Advisor Perspectives)
• "Pros and Cons of Pure Independence v. Partnering" (InvestmentNews RIA Summit)
• "Will the Independent Broker-Dealer Model Survive?" (Advisor Perspectives)
• "The Two Big Reasons Advisors Don’t Transition to the RIA Model" (Advisor Perspectives)
• "How Big Do You Have To Be To Transition to an RIA Or Should You Open Your Own?" (For Advisors By Advisors podcast)
• "The Top Reasons Why You Should Stay With A Broker-Dealer" (The Perfect RIA podcast)
• "How Long Does It Take to Transition to the RIA Model?" (Advisor Perspectives)
• "8 Suggestions for How Wirehouses Can Retain More Advisors" (Barron's)
• "How to Reduce Office Expenses (Part 2)" (Advisor Perspectives)
• "How to Reduce Office Expenses (Part 1)" (Advisor Perspectives)
• "What Can an RIA Learn from McDonalds?" (Advisor Perspectives)
• "The Outsized Role You Play in Attracting and Retaining Advisors at Your Firm" (HIFON - presentation to members)
• "Why Don’t Broker/Dealers Make Their Advisors Happier?" (Advisor Perspectives)
• "Weekend Reading for Financial Planners" (Kitces.com)
• "New Mariner Mega-Firm Seeks to Grow to 5,000 advisors" (Financial Planning Magazine)
• "You Provide More Value than You Realize" (Advisor Perspectives)
• "How To Leverage Technology To Gain A Competitive Advantage" (RightSize Solutions webinar)
• "Get Ready to be Squeezed by Your Broker/Dealer" (Advisor Perspectives)
• "Lies, Damned Lies, and Advisor Payouts" (Advisor Perspectives)
• "The Double-Edged Sword of a Producing Branch Manager" (Advisor Perspectives)
• "How to Fire Your Compliance Department" (Advisor Perspectives)
• "Help Clients With Other Tasks To Add Value To Your Firm" (FPA SmartBrief)
• "What Financial Advisors Can Learn From Irish Pubs" (LinkedIn Articles)
• "Adding Client Value In A Way Few Advisors Do" (Advisor Perspectives)
• "Are You Really a Big-Rig Truck Driver?" (Advisor Perspectives)
• "Why You Shouldn’t Take an Upfront Bonus Check for Changing Firms" (Advisor Perspectives)
• "Are Broker/Dealers Dead?" (Advisor Perspectives)
• "Trying to recruit advisors? Avoid these seven mistakes" (Citywire RIA)
• "When is the Wirehouse Model Better than an RIA?" (Advisor Perspectives)
• "How Does E&O Insurance Work as an RIA?" (Advisor Perspectives)
• "What to Consider Before Going RIA" (AssetMark webinar)
• "What Should RIAs Outsource?" (Advisor Perspectives)
• "Comparing RIA vs IAR" (Dynamic Advisor Solutions webinar)
• "If College Football Was Run by a Broker/Dealer" (Advisor Perspectives)
• "Transitioning to the RIA Model - What you Need to Know" (FPA Metro New York)
• "Scaling Your Business with Brad Wales" (Balanced Advisor Podcast)
• "Why Do So Many RIAs Fail to Launch?" (Advisor Perspectives)
• "Your Clients Don't Need You" (FA Magazine)
• "Should Advisors Use More Than One Custodian?" (Advisor Perspectives)
• "6 Things I’ve learned from Michael Kitces (That Have Nothing to Do With Financial Planning)" (Barron's)
• "Is Your 1% Fee Too Cheap?" (Advisor Perspectives)
• "Beyond AUM: Eight non-standard fee models for RIAs" (Citywire RIA)
• "Are You a Steering Wheel Holder?'" (Advisor Perspectives)
• "What Are 'Compensable Revenues?'" (Advisor Perspectives)
• "Running an RIA: Client Management, Behavioral Finance, Sales Process, Differentiation, and More" (InvestmentNews RIA Summit)
• "Should I Join an Existing RIA?" (Advisor Perspectives)
• "What Advisors Can Learn from Job Seekers" (Advisor Perspectives)
• "PE Firm Sells Part Of Its Stake In $40B Wealth Enhancement Group" (Financial Planning Magazine)
• "Raymond James Enterprise Hires Former Waddell & Reed Recruiter" (Financial Planning Magazine)
• "The Inconvenient Math of the W2 Model" (Advisor Perspectives)
• "LPL’s Hybrid RIA Power Play" (Financial Planning Magazine)
• "The RIA Wild West of Going Independent" (Coffee & Regs Podcast)
• "What is a 'Hybrid' RIA?" (Advisor Perspectives)
• "Information Sharing and Navigating the RIA Marketplace" (The Admired Advisor Podcast)
• "Increase Coming in Introducing-Custodians for RIAs" (InvestmentNews)
• "RIA Model:  What You Need To Know" (Master Class series presentation) (First Ascent Asset Management)
• "Rise of Middle-Office Providers For RIAs" (InvestmentNews)
• "You've Been Calculating Your Payout Wrong" (Advisor Perspectives)
• "Salary-Plus-Bonus Will Arrive at the Wirehouses" (InvestmentNews)
• "The Outlook for the Independent Broker-Dealer Model" (InvestmentNews)
• "Is Bigger Better?" (Advisor Perspectives)
• "What Advisors Should Consider When Exploring the RIA Marketplace" (Thrivent Insights)
• "The Ridiculousness of the BrokerCheck System" (RIAIntel)
• "Money is Irrelevant When it Comes to Your Career" (Advisor Perspectives)
• "Answering Questions About Going RIA" (InvestmentNews)
• "What Minimum AUM Do You Need to be Your Own RIA?" (Advisor Perspectives)
• "Warren Buffett On Up-Front Recruiting Checks" (FA Magazine)
• "How Do I Start My Own RIA?" (Advisor Perspectives)
• "Pros & Cons Of Building Your RIA From Scratch vs. Tucking Into An Established RIA" (InvestmentNews RIA Summit)
• "An Inspired Perspective with Brad Wales Founder of Transition to RIA" (Inspire Growth)
• "10 More FAQs About Moving to the RIA Model" (ThinkAdvisor)
• "The Overhyped New Marketing Rule" (Advisor Perspectives)
• "RIA Model" (presentation) (Financial Planning Association - Rhode Island Chapter)
• "Stop Asking If You Need A Haircut"(Advisor Perspectives)
• "Are RIAs Better Marketers?" (Financial Advisor Marketing Podcast)
• "The Math Problem Brokers Can’t Solve" (Advisor Perspectives)
• "Brad Wales on Transitioning to the RIA Model" (ModelFA Podcast)
• "Is a CFP About to Become a Requirement for RIAs?" (Advisor Perspectives)
• "RIA Model" (presentation) (Financial Planning Association - Southern Arizona Chapter)
• "Is RIA Firm Marketing Easier Than Broker Dealer Marketing?" (Sara Grillo Podcast)
• "Shawshank Redemption’s Lessons for Breakaway Advisors" (Advisor Perspectives)
• "Transitioning to the RIA Model Under the Biden Administration" (Advisor Perspectives)
• "How To Leverage the Power of Outsourcing Through a Network of Referral Partners" (Top Advisor Marketing Podcast)
• "10 FAQs About Moving to the RIA Model" (ThinkAdvisor)
• "Weekend Reading for Financial Planners" (Kitces.com)
• "Do I Have to be 100% Fee-based to Start My Own RIA?" (Advisor Perspectives)
• "How Advisors Are Transitioning to RIAs" (Indigo Marketing Agency Webinar)
• "Transition To RIA" (SharkPreneur Podcast)
• "Do RIAs Have to Pay for Their Own Compliance?" (Advisor Perspectives)
• "Why the Breakaway Broker Exodus Hasn’t Happened" (Advisor Perspectives)
• "Record Number Of US Business Applications Have COVID-19 Stamped All Over Them" (International Business Times)

(Mentions starting as-of late 2020)