Here’s the law: Fictitious Name Law — Doing Business As (DBA) Fictitious Business Name Statement (FBN). State law requires that every person, partnership, corporation, or other association, who transacts business und[...]

The idea of starting an RIA has become a recent fad for many financial advisors. Getting away from the watchful, and sometimes over-compliant, eye of their broker dealer; being able to keep 100% of their fees; having a c[...]

Legacy planning begins, of course, with an analysis of the assets one anticipates owning at the time of death. This can sometimes be an inexact process. For the business owner, it is important to consider the business as[...]

In last month’s edition of Transitions magazine (page 30), we were featured as a firm that focuses on serving financial advisors who are considering a broker-dealer change. We thought it would only be fair to explain j[...]

I recently had the pleasure of speaking with John Burns about his thoughts on the transition process, and his advice on the challenges facing advisors today, as well as the solutions. [...]

In the short term, advisors feel the pain of diminished net worth, while in the long term they will benefit greatly by seizing the golden opportunity to go independent. To go independent is the emancipation of an adviso[...]

These lofty platitudes to the glories of independence make for wonderful motivational poster material. Who wouldn’t want to experience that sense of power and self-reliance, after all? It’s a good question, but then [...]

Recently, I had the pleasure of discussing important issues of going independent with John Peluso, including how to choose an independent broker dealer, what are the challenges, what are the benefits and many other thing[...]

Going independent is not as easy as cleaning out your desk and switching off the lights in your office. Making the move requires careful planning from start to finish. This ensures that you’re protected legally, and he[...]

Through AdvisorChoice, a revolutionary approach to broker/dealer affiliation, Raymond James offers financial advisors the ability to match their career goals to one of four business models, each offering a distinct combi[...]