Transition To RIA Podcast

Q83 - How Much E&O Coverage Does My RIA Need?

Obtaining Errors & Omissions ("E&O") insurance for your Registered Investment Advisor ("RIA") is not only a best practice, it is usually now...

Q82 - Won't Large RIAs Have The Same Challenging Compliance Departments As Broker-Dealers?

A common frustration by financial advisors in the broker/dealer model is a burdensome compliance department.

This...

Q81 - Is Broker-Dealer Technology Better Than RIA Technology?

A tale often told by broker/dealer management is that B/D technology is superior to the technology available in the Registered Investment Advisor ("RIA")...

Q80 - Can I Take My Employees With Me If I Transition To The RIA Model?

It is common for advisors transitioning their practice to the RIA model to want to bring their existing support team members with them.

Those...

Q79 - How Do I Explain The RIA Model To Clients?

There are many advantages for why financial advisors transition their practices to the Registered Investment Advisor ("RIA") model. Equally compelling...