Transition To RIA Podcast

Recent Episodes

Q58 - What Is An Outsourced Chief Compliance Officer?

Posted February 22, 2022 • 00:30:27

Every Registered Investment Advisor is required to have a named Chief Compliance Officer (CCO).

Whether you are thinking of starting...

Q57 - What is a TAMP?

Posted February 3, 2022 • 00:21:08

You’ve likely heard of a TAMP before, but what exactly is it?

The definition of a Turnkey Asset Management Program has expanded...

Q56 - What Is The Broker Protocol?

Posted January 24, 2022 • 00:31:08

If at some point in the trajectory of your advisory practice you envision changing firms or affiliation models, it's important to understand what the...

Q55 - How Much Revenue Does A Broker-Dealer Generate From Their Advisors?

Posted January 4, 2022 • 00:29:13

Are you a financial advisor at a broker/dealer?

Are you getting good value in return for the revenue you generate for your firm?

Q54 - 10 Questions On The Future Of The RIA Model With Bob Veres.

Posted December 13, 2021 • 00:54:24

In a slight pivot to my normal format, in the most recent episode of my RIA Question & Answer series, I sat down with long time industry observer,...