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This bowl is a forum for Independent Registered Investment Advisors to share ideas or just banter.
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Hi folks👋🏼 I’m looking for an opportunity to work for a RÍA practice as a Paraplanner, associate or Junior FA. I have 15+ in the financial industry, hold a couple of securities and insurance license… more

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I got moved from TD Ameritrade to Schwab after the merger. Schwab is terrible. Any one else feeling let down but this merger?

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Any RIAs looking for a Series 24 for remote work? Need a CCO or Supervision Principal?

Or

Are you solo and looking for a way to grow your business by adding someone who could help right away?

I hold my Seri… more

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📢 Seeking Advice on Career Move to Equitable Advisors 🤔

Hello fellow Independent Financial Advisors! I'm considering change of scenery by moving to Equitable Advisors after a successful run at UB… more

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I’m looking to buy a book of business, let me know if anyone here can help in any way. Appreciate any connections in your network who’d make a good partner.

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Hello fellow financial advisors,

I am reaching out to explore the possibility of aggregating our production and AUM together to seek new opportunities. By working together, we can strategically leverage our collec… more

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I have 4 years of experience and I am currently a Compliance Officer at a fintech/broker dealer firm. I already have a masters in finance and undergrad degree in finance. Would a part time Jd make sen… more

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Just passed my CFP, have my 7, 63, 66, 24 and have been in the business since 1999. Located in St. Augustine, FL anyone looking to add a team member? Local or remote

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What should you pay an administrative assistant? What are the Jones guys paying BOAs? I have always paid hourly, but I guess many are doing salary.

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I’ve been in the industry for 23+ years, 16+ of those spent as a Producing Branch Manager. I hold S7, S63, S66, S24 and I’ve completed the education for the CFP (need to pass the exam). I excel in rel… more

likesmart

Best way to generate leads today?

Average salary for a Senior Associate who’s in the process of getting their CFP?

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How much does a book of business typically sell for? Thinking of buying my partner out. I'm managing his book and have been for 5 years.

Anyone charging for held away assets?
How are you positioning this? Do you charge the same amount as assets under management or is it lower?

Anyone with experience using a VA that serves financial advisors specifically? We are considering outsourcing some of our administrative tasks.

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Does anyone have any experience using FMG marketing suite. Our firm took a demo this past week and it looks robust.

Does anyone have insight on what a trading/portfolio manager role should make at a smaller RIA (less than $2B AUM). I am the first in my company to be in a trading position so am not sure what I should be e… more

Anyone familiar with or us Snappy Kracken?

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Hello Everyone! I am newer here and just wanted to say hi and introduce myself! I work with a Hybrid Independent RIA. If you are an FA curious about Independence or are considering a move, feel free to reac… more

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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?

likesmart

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?

likehelpful

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?

likesmart

Any RIAs making money on HSA accounts? How?

likehelpful

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

likesmart

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?

likehelpful

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?

likehelpful

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...

likehelpful

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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