Transition To RIA Podcast

Q121 - Do I Have To Drop My Series 7 If I Go RIA?

You studied for months to take the Series 7.

You anxiously sat through the multi-hour test. Perhaps...

Q120 - Are There Platform Fees In The RIA Model?

“Platform fees” in our industry are the “resort fees” of the hotel industry.

Just as a hotel room rate can be distorted by...

Q119 - How To Make Up For Lost Deferred Comp When Transitioning To The RIA Model?

If you are an advisor at a firm that utilizes deferred compensation as part of the comp plan, ask yourself why your firm is doing that.

Q118 - Is My Practice Too Large To Join An RIA?

I am often asked, “How large a practice do I need, to have my own RIA?”

Equally important is the other end of...

Q117 - How To Solve For Your Remaining Commission Assets?

A common misconception about the RIA model is that you must be 100% fee-only with your practice.

While...