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Independent RIA

479 members
...
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This bowl is a forum for Independent Registered Investment Advisors to share ideas or just banter.
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Posting as :
a Wholesaler
▸ Independent RIA
You are currently posting as works at Wholesaler

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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Posting as :
a Financial Advisor
▸ Independent RIA
You are currently posting as works at Financial Advisor

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?

like
Posting as :
works at Gartner
▸ Independent RIA
You are currently posting as works at GartnerBadge Image

likehelpful
Posting as :
a Financial Advisor
▸ Independent RIA
You are currently posting as works at Financial Advisor

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

like
Posting as :
a Financial Advisor
▸ Independent RIA
You are currently posting as works at Financial Advisor

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

likehelpful
Posting as :
works at Alliance Global Partners
▸ Independent RIA
You are currently posting as works at Alliance Global Partners

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.

Posting as :
a Financial Planner
▸ Independent RIA
You are currently posting as works at Financial Planner

Anyone have any experience with xy planning network? Thoughts?

Posting as :
works at Morgan Stanley
▸ Independent RIA
You are currently posting as works at Morgan Stanley

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

Posting as :
a Financial Advisor
▸ Independent RIA
You are currently posting as works at Financial Advisor

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?

helpful
Posting as :
works at Buckley Investment Group
▸ Independent RIA
You are currently posting as works at Buckley Investment Group

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??

like
Posting as :
works at Waddell & Reed
▸ Independent RIA
You are currently posting as works at Waddell & Reed

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.

helpful
Posting as :
a Financial Advisor
▸ Independent RIA
You are currently posting as works at Financial Advisor

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

Posting as :
works at North Star Resource Group
▸ Independent RIA
You are currently posting as works at North Star Resource Group

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

Posting as :
works at Berkshire Money Management
▸ Independent RIA
You are currently posting as works at Berkshire Money Management

What is your experience with The Bill Good Marketing system?

like
Posting as :
a President, Wealth Advisor
▸ Independent RIA
You are currently posting as works at President, Wealth Advisor

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

likesmart
Posting as :
Lork Schellberg
▸ Independent RIA
You are currently posting as works at Lork Schellberg

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

Posting as :
a Managing Partner, Wealth Advisor
▸ Independent RIA
You are currently posting as works at Managing Partner, Wealth Advisor

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......

helpful
Posting as :
works at Raymond James
▸ Independent RIA
You are currently posting as works at Raymond James

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

like
Posting as :
a President, Wealth Advisor
▸ Independent RIA
You are currently posting as works at President, Wealth Advisor

Is riskalyze worth it as a lead gen tool?

Posting as :
a Financial Advisor
▸ Independent RIA
You are currently posting as works at Financial Advisor

Anyone work with Carson Group? If so share experience

Posting as :
a Financial Planner
▸ Independent RIA
You are currently posting as works at Financial Planner

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

Posting as :
works at Raymond James
▸ Independent RIA
You are currently posting as works at Raymond James

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

Posting as :
a Financial Advisor
▸ Independent RIA
You are currently posting as works at Financial Advisor

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

likehelpful
Posting as :
works at Manhattan Wealth Management
▸ Independent RIA
You are currently posting as works at Manhattan Wealth Management

Has anyone used Smart Asset for lead generation?

like
Posting as :
a Principal
▸ Independent RIA
You are currently posting as works at Principal
like
Posting as :
a Wealth Management Advisor
▸ Independent RIA
You are currently posting as works at Wealth Management Advisor

RIA in Hauppauge, NY (Long Island) is looking to ad a service advisor to our practice. We are interested in speaking with advisors that have and do not have their own clients currently.

Posting as :
a Financial Advisor
▸ Independent RIA
You are currently posting as works at Financial Advisor

Why did you go the RIA route instead of a BD/HYBRID route? Did you start as an RIA or somewhere else?

Posting as :
a Senior Vice President
▸ Independent RIA
You are currently posting as works at Senior Vice President

Working for a small RIA on 1099. I receive about 80% payout AUM and the firm covers port mgmt, marketing, and a client service rep. However no other benefits such as office, health, 401k, bonus. Stay?

Posting as :
Paul Mccarthy
▸ Independent RIA
You are currently posting as works at Paul Mccarthy

How do you advertise?

like

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