Videos
You ask, I answer. Below are videos in which I answer RIA related questions that I am frequently asked by advisors. I generally add a new video about every two weeks. (Also available as podcast.)
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Most popular:
- #42 - How to start an RIA?
- #40 - How does a broker-dealer grid payout compare to an RIA?
- #47 – 10 reasons to NOT start an RIA?
- #61 – What should I do with my legacy commission business?
- #35 - What is a "Hybrid" RIA?
Full list:
- #81 – Is broker-dealer technology better than RIA technology? (New! Added March 23, 2023)
- #80 – Can I take my employees with me if I transition to the RIA model?
- #79 – How do I explain the RIA model to clients?
- #78 – Can I manage client assets myself as an RIA?
- #77 – Why don't more financial advisors transition to the RIA model?
- #76 – Can I accommodate concentrated stock positions as an RIA?
- #75 – What are 13 ways that RIAs have an unfair advantage?
- #74 – How can I reduce or eliminate my real estate office expense as an RIA?
- #73 – What is a "Corporate RIA?"
- #72 – How to calculate your true net broker/dealer payout?
- #71 – What is a “Supported Independence” RIA model?
- #70 – Can I have foreign clients as an RIA?
- #69 – How to generate the highest income with your RIA?
- #68 – What are mistakes to avoid when trying to recruit advisors to join your RIA?
- #67 – How would I improve the wirehouse brokerage model?
- #66 – Should you change affiliation models during challenging market conditions?
- #65 – Mistakes advisors make when transitioning to the RIA model.
- #64 – What do I think of "IAR-only" channels at broker-dealers?
- #63 – What are the largest expenses of running an RIA?
- #62 – Should I join an independent broker-dealer first or should I go straight to the RIA model?
- #61 – What should I do with my legacy commission business?
- #60 – How does a wirehouse compare to an RIA?
- #59 – What is an RIA technology stack?
- #58 – What is an Outsourced Chief Compliance Officer? (w/ guest Jeff Chapman)
- #57 – What is a TAMP?
- #56 – What is the Broker Protocol? (w/ guest Eric Siber)
- #55 – How much revenue does a broker-dealer generate from their advisors?
- #54 – 10 questions on the future of the RIA model. (w/ guest Bob Veres)
- #53 – How to choose a custodian for your RIA?
- #52 – How to structure the legal ownership of an RIA? (w/ guest Richard Chen)
- #51 – Should I join an existing RIA?
- #50 – How to offer insurance solutions as an RIA? (w/ guest Tim Rembowski of DPL Financial Partners)
- #49 – How long does it take to transition to the RIA model?
- #48 – Why should an RIA use LinkedIn? (w/ guest Sara Grillo)
- #47 – 10 reasons to NOT start an RIA?
- #46 – How do I obtain Errors & Omissions insurance ("E&O") as an RIA? (w/ guest Scott Shannon of Windermere Insurance Group)
- #45 – How to charge for financial planning? (w/ guests Lucy Robeson & Isabelle McGrail of AdvicePay)
- #44 – What is the minimum amount of assets under management I should have before I start my own RIA?
- #43 - How to run the business side of your own RIA? (w/ guest Andrea Schlapia of Ironstone)
- #42 - How to start an RIA?
- #41 - How do I navigate the legal considerations of breaking away from my current firm to transition to the RIA model? (w/ guest Sharron Ash)
- #40 - How does a broker-dealer grid payout compare to an RIA?
- #39 - How do I start a podcast as my own RIA? (w/ guest Matt Halloran of ProudMouth)
- #38 - Am I required to have a CFP designation to start my own RIA?
- #37 - How do I create a marketing plan for my new advisory firm? (w/ guest Claire Akin of Indigo Marketing Agency)
- #36 - How does an RIA custodian generate revenue?
- #35 - What is a "Hybrid" RIA?
- #34 - What kind of RIA compliance consultants are there to choose from?
- #33 - Can an RIA charge performance fees?
- #32 - How can I create my own upfront transition check?
- #31 - What is the difference between fee based and fee only?
- #30 - Is it possible to keep some of my legacy commission business?
- #29 - How can I see a sample of another RIAs ADV?
- #28 - What can I expect to happen during a regulatory exam?
- #27 - Can I start as single custodian and then become multi-custodian later?
- #26 - What conflicts of interest do you have to disclose as an RIA?
- #25 - Should I buy an existing RIA or start my own?
- #24 - What is a No Transaction Fee program?
- #23 - What is the difference between Transaction Based Pricing & Asset Based Pricing?
- #22 - Does my custodian send account statements to my clients?
- #21 - Can I charge flat or hourly rate fees for financial planning as an RIA?
- #20 - What is the minimum account size I can have as an RIA?
- #19 - Will my custodian offer every mutual fund I might want to use with my clients?
- #18 - Will I keep 100% of my clients if I start my own RIA?
- #17 - As an RIA, can I use more than one custodian?
- #16 - What is an advisory agreement and how do I create one?
- #15 - Does the client or RIA pay the trading transaction costs?
- #14 - What level of bottom line income can I expect to earn as an RIA?
- #13 - Can I sell insurance as an RIA?
- #12 - How much does an RIA compliance consultant cost?
- #11 - Won't I have to pay for doing my own compliance as an RIA?
- #10 - Will I officially own my book with my own RIA?
- #9 - What is the minimum AUM I must have to start an RIA?
- #8 - How often will my RIA receive a regulatory exam?
- #7 - Do I have to get Outside Business Activities approved as an RIA?
- #6 - Can I have discretionary accounts as an RIA?
- #5 - How long does it take to register an RIA?
- #4 - How do I logistically setup an RIA?
- #3 - What is the difference between an RIA and an IAR?
- #2 - Do I need to register with the SEC or with my state?
- #1 - Why should I consider starting my own RIA?
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