Thinking about becoming a financial advisor? Learn how today.
Thinking about becoming a financial advisor? Learn how today.
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Integrated Solutions For Fee-Based Independent Advisors: A Conversation With Brian Leitner, Head of Mariner Platform Solutions

Mariner Platform Solutions is a platform for fee-based independent advisors that incorporates the best practices of top Mariner Wealth Advisors. The Mariner Platform Solutions platform provides independent advisors “access to in-house advisory solutions teams across tax, investments, insurance, retirement solutions, investment banking, business valuation, practice management and trust services,” all to allow advisors to take [...]

By |2022-03-15T23:29:05+06:30March 15th, 2022|Breakaway Advisors|Comments Off on Integrated Solutions For Fee-Based Independent Advisors: A Conversation With Brian Leitner, Head of Mariner Platform Solutions
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Becoming an RIA: The Best Professional Designations for Financial Advisors to Consider

In an era of almost endless information, it’s important for financial advisors to find ways to stand out in the crowd. As an advisor, obtaining the right certification can do more than just allow you to compete, it can be a differentiator for clients who are looking to choose an advisor. However, for independent advisors, [...]

By |2022-03-15T23:19:52+06:30March 14th, 2022|Breakaway Advisors|Comments Off on Becoming an RIA: The Best Professional Designations for Financial Advisors to Consider
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What You Need To Know About Selling Your RIA Practice

For independent investment advisor representatives, an RIA practice is an investment all its own. And just as with a client’s investment plan, when and how to sell an RIA can be a complicated decision, implicating your own long-term financial goals, your impressions of the current and projected market, and even your personal feelings about your [...]

By |2022-03-08T23:57:46+06:30March 8th, 2022|Breakaway Advisors|Comments Off on What You Need To Know About Selling Your RIA Practice
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Transitioning From A Wirehouse To An Independent Broker-Dealer: What Advisors Need To Know

Experienced financial advisors have a lot of options when it comes to shedding the restrictions and limitations of the wirehouse work environment. From regionals to hybrids to an RIA model, advisors have never had more options for breaking free of the wirehouse and going independent. Advisors who want to transition from the wirehouse to an [...]

By |2022-02-23T07:33:23+06:30February 23rd, 2022|Breakaway Advisors|Comments Off on Transitioning From A Wirehouse To An Independent Broker-Dealer: What Advisors Need To Know
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Series 6, 7, 63, 65, 66 And The CFP — What Do Advisors Need To Know About Credentialing?

The world of investment and financial advice has never been more complicated. Understanding the web of available licenses and credentials can help you to more effectively position yourself for a move to an independent advisor model, whether as a Registered Investment Advisor, RIA, or as an independent broker-dealer, or as a hybrid of both, with [...]

By |2022-02-18T00:40:42+06:30February 18th, 2022|Breakaway Advisors|Comments Off on Series 6, 7, 63, 65, 66 And The CFP — What Do Advisors Need To Know About Credentialing?
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Going Independent: 3 Communications Solutions Breakaway Advisors Need for 2022

Going independent as a financial advisor is complicated — after all, you’re standing up an entirely new business from scratch. Creating a new RIA involves resolving a lot of thorny compliance questions, ensuring you have a client service plan in place, and creating seamless technology solutions that allow you to compete with bigger firms. As [...]

By |2022-02-16T01:32:03+06:30February 16th, 2022|Breakaway Advisors|Comments Off on Going Independent: 3 Communications Solutions Breakaway Advisors Need for 2022
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Understanding Fiduciary Duty: The Rules Of The Road For RIAs

A big part of being a Registered Investment Advisor, or RIA, is ensuring that your business practices, technology solutions, communications with clients, and investment strategies comply with the myriad regulations that govern the financial services industry. Of those rules and regulations, none is more important than the fiduciary duty rule.  Your fiduciary obligations are likely [...]

By |2022-02-03T05:32:48+06:30February 3rd, 2022|Breakaway Advisors|Comments Off on Understanding Fiduciary Duty: The Rules Of The Road For RIAs
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7 Questions To Ask Your Financial Advisor Recruiter

One of the great benefits of a career as a financial advisor is that there’s no set career path you need to follow. Depending on the credentialing and certification path you choose, you have a lot of options. From working for a large, full-service wirehouse, to working at a regional firm, to becoming an independent [...]

By |2022-01-26T10:28:29+06:30January 26th, 2022|Breakaway Advisors|Comments Off on 7 Questions To Ask Your Financial Advisor Recruiter
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The Best Advisors Are Happy Advisors: The Pros and Cons of Going Independent

After two years of uncertainty and upheaval, it’s no wonder that many financial advisors, like those in all walks of life, are considering more independent career paths. But making the decision to leave a wirehouse for a more independent financial advisory practice is a complicated one. Understand more about the pros and cons of going [...]

By |2022-01-19T23:14:19+06:30January 19th, 2022|Breakaway Advisors|Comments Off on The Best Advisors Are Happy Advisors: The Pros and Cons of Going Independent
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Going Independent – 3 Compliance Solutions for Breakaway Advisors

Starting out as an RIA or independent broker-dealer is complicated. New RIAs don’t just need to worry about attracting clients or managing their assets responsibly, they also need to keep up-to-date with requirements for state and federal compliance. Failing to adhere to these strict regulatory rules can be costly — fines, legal fees, and lost [...]

By |2023-04-29T00:07:55+06:30January 12th, 2022|Breakaway Advisors|Comments Off on Going Independent – 3 Compliance Solutions for Breakaway Advisors
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