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… Also available as podcast (Episode #156) Apple | Android | Spotify | Amazon | Audible Do Custodians Have Minimum AUM Requirements? TL;DR – Choosing a custodian to hold your clients’ assets is one of the most significant decisions when...
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… Also available as podcast (Episode #155) Apple | Android | Spotify | Amazon | Audible What is a W2 RIA model? TL;DR – Many people think of the RIA model as an “independent” model. This is accurate, as many pathways into the model are...
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… Also available as podcast (Episode #154) Apple | Android | Spotify | Amazon | Audible What is an RIA aggregator? TL;DR – There is no regulatory or industry standard definition of what an RIA “aggregator” is. Instead, the term has been...
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… Also available as podcast (Episode #153) Apple | Android | Spotify | Amazon | Audible What are red flags to look out for in the RIA model? TL;DR – All affiliation models have pros and cons. Unfortunately, all models have red flags to look out...
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… Also available as podcast (Episode #152) Apple | Android | Spotify | Amazon | Audible Should I join a hybrid RIA? TL;DR – There are multiple pathways into the RIA model worth considering for your practice. One pathway is joining an existing RIA,...
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… Also available as podcast (Episode #151) Apple | Android | Spotify | Amazon | Audible What licenses do I need for the RIA model? TL;DR – In most cases, an advisor needs to have passed the Series 65 exam to qualify to become an Investment Advisor...
