The Key to a Successful Transition is Asking the Right Questions
When it comes to advisor transitions, preparation is the key to success. However, it’s hard to know how to prepare when you aren’t sure who to get your information from.…
How I Finally Figured Out What a TAMP Is
Once upon a time (about 4 years ago), I started my own firm, and I was riding the roller coaster of entrepreneur emotions. Going from feeling like I was on top of the world, being free and empowered.
RIA Archiving Platforms – Differentiators to Look For
The RIA space is BOOMING. Advisors are making moves left and right. The Great Resignation, brought about by a global pandemic, has reached a fever pitch and the financial services…
Raymond James vs Charles Schwab – An RIA Model Comparison
Choosing a custodian is an important decision when starting an RIA. The problem is, it’s hard to find objective research on the subject.
Why You Should Be Using Canva for Your Small Business and 10 Things You Can Make With It Right Now
Ever wonder how other entrepreneurs make content creation and distribution look so easy? How they make such creative and engaging graphics?
Budget Worksheet – Startup RIA Cost Calcuator
Open Here This is a starter template for advisors to use when leaving a protocol firm. Please speak with an attorney before making any major decisions. Reach out via my…
Protocol Spreadsheet Template
Protocol Spreadsheet Template
Open Here This is a starter template for advisors to use when leaving a protocol firm. Please speak with an attorney before making any major decisions. Reach out via my…
Master Spreadsheet Template
Master Spreadsheet Template
Open Here This is a starter template for advisors who want to keep track of their progress during the transition process. It can also be used to import client data…
Data Gathering Lists PDF
Data Gathering Lists – PDF
Open Here These are general starter lists for understanding the information that is needed from a client in order to open a new account and establish the proper features. It…
Client Info Gathering Form Excel
Client Info Gathering Form – Excel
This is a starter template for advisors who want to customize their own client information gathering sheet. It is not a complete list and some items may not be required. Please consult with your custodian for specifics.
(more…)