I’m finally about to make the jump back to an advisor after a relocation and two years as a planner/coach to advisors. It is with a very tiny RIA. The provide the platform, office, and I own my book and give back a portion of revenue to cover those costs. They are paying me a very nice 1 year salary to get off the ground. What are the questions you would be asking before you make it official?

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Make sure to ask about their Marketing strategies. You may be familiar with creating Marketing strategies if you coached advisors in the past but it was something I was unfamiliar with prior to joining this firm and I spend most of time working on SEO and Marketing tasks but I’ve learned a lot.

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Will you truly own your own book, or would they provide you an opportunity to buy it if/when you leave?

Is the salary truly compensation, or is it a loan?

Do they provide leads? If so, will the comp and/or the ownership of business coming from those leads be treated differently?

Are you going to be working only on your own business, or will you be assisting others?

What does their compliance look like?

Will you have performance goals?

Are there restrictions on the investments and tools you use?

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