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Independent RIA

306 members
This bowl is a forum for Independent Registered Investment Advisors to share ideas or just banter.

Any advice for someone in the middle of a merger?

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I am seeking Financial Advisors with established books who would like to explore independence. Independent Registered Investment Advisors (RIAs) are professional independent advisory firms that provid… more

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Anyone use SmartAsset for leads? Any success?

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Do CFP CPA CFA and MBA make that big of a difference in the RIA world? I’ve seen very successful individuals with all 3 and without any at all

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New to Fishbowl 😁👋 Hello everyone! Quick question for y'all! Who is the youngest holistic financial planner that you know and/or youngest person you know that's started their own RIA?

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Any thoughts on TD Ameritrade Institutional as a custodian? Used to NFS/Fidelity, TDA seems much more efficient and user friendly.

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I'm an independent solo RIA in California. Highschool buddy of mine is a permanent resident of Canada and wants me to manage his money. How do I take on Canadian clients?

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Do we need to do anything special to accept international investors?

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Thinking about all the fiduciary options: Participant 3(38), Plan 3(38) or 3(21), Admin 3(16). What can a RK provide that would help us win plans with you?

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Any RIAs making money on HSA accounts? How?

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Anyone ever use AdvisorStream? Curious your thoughts on the service...

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How many times do you follow-up with clients for an annual review? Do you email and call? I have emailed twice (no calls yet) but no response from the client. Keep trying or wait for them to reach out… more

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Texas FA’s when is your office re-opening?

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Part of a BD now, thinking of going on my own as RIA. Costs would be about 50% less, which makes it seem like an obvious choice. Have a deep family friend relationship with current firm, though. I … more

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Any thoughts on xy planning network?

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We are going to start providing social media posts our marketing team created, mostly non-branded and you are able to auto-schedule them. No cost to use, specifically for our RIA’s who don’t get...

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ADV clarification - i am now part of a smaller RIA, no longer affiliated with a B/D. I am trying to fully understand ADV requirements. Are there 3 main parts? Part 1, Part 2A and Part 2B?

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Are any RIAs charging for maddening 529 plans? If so, how?

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Has anyone used The Warton Group for 401k appointments? Seems like a lot of money for uncertain success...

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Our goal is to add advisors since we are in a growth mode across the US in twelve offices. We’re offering culture, significant payouts, succession planning, and more. RSVP to Connie.

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Anyone have any experience with xy planning network? Thoughts?

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Anybody have series 24 study materials that they don’t need anymore????

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Senoir advisors and owners: What do you offer in commission and fee splits with junior advisors? what do you pay office staff? juniors, what is your current or past comp split?

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My wife left her job that provided us health insurance for a reasonable rate. So I’m finding myself searching for some reasonable alternatives. What are you guys doing? Any cooperatives?? Or what??

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At what point do you fire a client? I have a 49 yr old client w/drawing $50K out of a $72K IRA (trad) to “pay off her home”, a move I completely disagree with/advise against.

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What’s it cost to work with an attorney when leaving a firm?

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Does anyone have any good ideas for client appreciation gifts for certain mile stones that don’t break the bank besides a gift card? i.e. when they have been with me for 1 year

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What is your experience with The Bill Good Marketing system?

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Anyone interested in doing a collaboration on a YouTube video? Want to bring in other perspectives.

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Anyone familiar or use Elite Resource Team? Looking to explore their Team Based Model .

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For those of you out there that are your own independent RIAs, what performance/billing reporting software do you use? I researched multiple providers when I first set up my single man shop......

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Anyone using remote marketing consultants for social media seminar promotions or creating online content?

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Is riskalyze worth it as a lead gen tool?

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Anyone work with Carson Group? If so share experience

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Looking to refer a friend in the Las Vegas area to an independent advisor for term insurance and basic retirement planning.

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Valentines Day - what do you guys do for your widowed clients?

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Just made the move from a wirehouse to join an RIA! So excited!

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Has anyone used Smart Asset for lead generation?

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