We have worked with 1,000’s of advisors since 2014, and are extremely aware of the unique challenges within most organizations.

With that in mind, we highly recommend the following when looking to go independent or switch firms:

DO NOT change your current wealth management firm (ie. go from UBS to Merrill, go from Merrill to Morgan Stanley, start your own RIA, etc.) until you watch and learn commons mistakes we see many advisors make during the transition process.

☛ Our vast network and deep bench within the wealth management industry has provided us with the insight you need to help you in your due diligence process.

  • Looking to switch from the wirehouse/banking world to the RIA side?

  • Looking to start your own RIA?

  • Looking to move from one wirehouse (ie. Goldman Sachs, Merrill Lynch, Morgan Stanley) to another?

  • Feel your skills and growth are being stymied by your manager?

STOP and call us before making any decisions!!! We’ve seen and worked with one too many advisors who fell for the sales pitch of one firm, only to be stuck and regret their decisions.

Through our deep bench in working with hundreds of large and small structures out there, we can serve as your due diligence partner, joining you on interviews and asking the relevant questions that you may be forgetting.

We’ve seen advisors give up millions of dollars in revenue to join RIA-aggregators, only to find out what they were promised was just a dream. We’ve seen advisors move from one firm to another, and when their non-compete was finished, to find out their new firm made it impossible to call their former clients.

These are all questions we can help you get answers to. We can also search for you the best platform to meet your goals.

Schedule a confidential call with us to have a partner help you search for your new wealth management firm

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How advisers can make referrals their most effective tool for growth
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Rather than getting “I don’t know anyone right now” to your hint at getting more referrals from your clients, utilize the Referralytics™ methodology! Read this article to learn more.

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Building a strong relationship with your clients beyond managing their money and speaking about their finances can be one of the most critical components to growing your practice.

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Use Gamification with Your Clients and Team for More Growth
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Gamification is a powerful tool that can enhance performance and growth in finance, law, and accounting. By applying game mechanics to non-game contexts, it drives engagement and motivation. This article highlights the benefits of gamification and offers five strategies for financial and legal professionals to implement. These strategies include referral contests, financial education quizzes, thought leadership contests, and more. Gamification can increase engagement, improve knowledge retention, foster collaboration, provide real-time feedback, and support continuous learning and development. By embracing gamification, professionals can create an exciting and dynamic workplace culture while empowering their teams to succeed.

SEC Marketing Rule, Rule 206(4)-1 of the Advisers Act
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Advisors are starting to be modernized to the 2020’s by the SEC! In this video interview with attorney Chris Stanely, we learn more about the details of the new adopted amendments to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the Advisers Act) to modernize the regulation of investment adviser advertising and solicitation practices. More importantly, we discuss how to maximize these updates for your practice’s marketing efforts!