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A community for Financial Advisors, Financial Planners and Wealth Managers both independent and within companies.
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Anyone go out on their own using an RIA set up? How much was the costs of registration, ongoing compliance, tech, etc? Looking for just myself for now with goal to add other advisors in future.

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Looking for a CFP to join our planning team in Arizona! If you know of anyone or are personally interested, message me!

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What’s the highest revenue payout you have seen at a BD or RIA? talking to an RIA and they are at 75%.

Anyone know of any RIAs open to hiring someone with a tax background interested in transitioning to wealth management?

Anyone ever work with AXOS or National Advisors Trust?

Looking to switch custodians as an RIA as Schwab is transitioning TD Ameritrade this year.

Looking at making a move and have only heard good things about Fidelity. I have a Series 6 & 63 currently and have no troubles with test so getting a 7 doesn't worry me. My challenge is, whe… more

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I am looking to add a third advisor to my practice in central Texas to help with relationship management and work with some of the clients that are currently not receiving the level of service needed … more

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Interested in what other roles may be out there for someone that doesn’t want to be a financial advisor but has all the qualifications. 10 YOE with series 7, 66 and 63 life and health insurance and ab… more

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Best advice when it comes to studying for or taking the series 66 exam! What resources did you find helpful? Or tips on how to pass!

Hello everyone! I am an associate wealth management advisor. 1YOE with Series 7 &63. Currently making 40k in the Atlanta area. I am wanting to negotiate my salary. What is someone in my area/exper… more

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Looking to grow through acquisition. What multiples are out there for advisory? I'm seeing 1.4 to 3.5. Clawback structures? I'm capitalized but not sure I can fight with the big dogs throwi… more

Software engineer client at Uber keeps asking for discounts, "because it's all automated and market is down". His portfolio is down 10% YTD. He's been a client for several years. Re… more

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I have receiver platforms available for manual punch, all modes and protocols of POS card transactions (4digits & 6-digits), Ledger-to-Ledger (L2L), IP/IP and Server-to-Server (S2S).
WA-857-2… more

Been in the financial services industry for seven years now, currently at Citi Private Bank as an associate banker and considering moving over to Fidelity for a financial consultant role.

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How’s working at Charles Schwab? How much can you make as financial advisor, not owning a practice but for an office

Anyone discussing protective put options strategies with retail clients?

Anyone willing to comment on their path that they took to get to financial advisor? Been thinking about starting out as a CSA (transferring industries from current) but heard pay isn’t great. Any othe… more

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IBD and Wirehouse Advisors:

Have market conditions prompted you to consider alternative affiliation models? If so, what resources are you using to consider a change?

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Fish bowl fam,

I am a Registered Associate at a wire house in the Northeast with 2 YOE. Base $55k / bonus is a % of net new assets paid monthly, roughly $15k annually on average. Team does… more

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Good Morning,

I'm looking at transitioning into Financial Advising with Edward Jones, wanted to know if anyone can provide some REAL insight on what I may be getting into with the Fina… more

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Just curious about the geographical location of people in this “bowl.” Seems to be predominantly East coast folks.

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Hi, Can i get some likes on my post to open my dms. TIA

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Im looking for insight regarding the role of Planning Consultant at Fidelity. What does the day consist of as well as best aspects of the role and most challenging. I’ve been in the financial servic… more

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Looking to pivot back to investment finance (worked for Vanguard) from lending. Licenses have expired. Are there any companies recommended that would allow someone to get relicensed? I am not looking … more

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For the first time, I’m interviewing for a non-sales opportunity at Edward Jones. I’m excited for it, but also nervous. It’s … more

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Sub-osj role at large super osj in lcol area wondering if my comp is adequate. 3 years in the industry, 60ish this year, series 24. Do a lot of recruiting and working with advisors, and oversee our pa… more

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I’m an advisor at a large ($9b) multi family office in NYC, advising on portfolio construction for 6 client families ($400m total AUM) in conjunction with one of the firm’s managing partners. I’ve wor… more

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Hi ! I'd like to transfer to a BA role, I am a credit Analyst right now, previously been a compliance Analyst. Please advice steps to take and companies to apply to. Thank you in advance

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Thinking of joining Raymond James indie channel but coming from a captive broker dealer. My income is 80% fee based 10% trails and 10% new business. Going independent means wearing more hats. Curious … more

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And wholesaler fish out here looking for a change? Would love to introduce you to a contact of mine looking to hire two in the Atlanta area. Pm me if interested.
Cheers to the week!

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Do you think our industry is doing enough to combat climate change? And at what exact point did you lose all hope?

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I recently graduated from uni and started working as an FA Trainee. I have been learning quite a lot honestly but still looking for other opportunities. Extremely intrigued by the wealth management si… more

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Is the CFA worth the depressing 3+ years of studying?

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Hello Fishbowl Family. 3.5 YE & Series 7, 6, 63
I have 2 Offers currently.

1. Associate Advisor role at JPM Chase Atlanta 85k Base. No Commission or Sales. What type Of Annual Perf… more

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How much are FAs making at larger firms?

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To all FAs:
What would be key components for a cold email looking to join their team?

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Can people please discuss how compensation went after they got registered early in their career as Client Associates? How discussions went with FAs, % you got of the T12, etc? Thanks!

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Anyone use Schwab as RIA custodian? I'm nervous about their take over of TD. How are they to work with?

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Has anyone used a virtual assistant?
My practice pivoted hard during covid.
I used to travel 60,000 miles a year to meet clients. Now it's mostly virtual from my home office. I have cli… more

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