… Also available as podcast (Episode #31) Apple | Android | Spotify | Amazon What is the difference between fee based and fee only? There is a growing debate – amongst regulators, credentialing bodies, industry advocates, etc. – regarding the...
… Also available as podcast (Episode #30) Apple | Android | Spotify | Amazon Is it possible to keep some of my legacy commission business? A common misconception advisors have when considering the Registered Investment Advisor (“RIA”) model is...
… How can I see a sample of another RIA’s ADV? There are two primary ways to see another Registered Investment Advisor’s (“RIA”) ADV. First, some RIA’s link to their ADV directly from their own their website. Such links are...
… Also available as podcast (Episode #28) Apple | Android | Spotify | Amazon What can I expect to happen during an RIA regulatory exam? Undergoing regulatory examinations is a routine part of having your own Registered Investment Advisor...
… Also available as podcast (Episode #27) Apple | Android | Spotify | Amazon Can I start with a single custodian and then become multi-custodian later? A meaningful benefit of the Registered Investment Advisor (“RIA”) model is the ability to...
… Also available as podcast (Episode #26) Apple | Android | Spotify | Amazon What conflicts of interest do I have to disclose as an RIA? While the implementation of Regulation Best Interest (Reg BI) has narrowed the gap to a degree, the requirements to...
