WebJul 13, 2024 · With the firm since May 2014, she consults with the firm's affiliated advisors on a wide range of business disciplines, including strategic planning, operational efficiency, growth strategies, marketing, human resources, and succession planning. Christine holds FINRA Series 6 and 63 securities registrations. WebJun 29, 2024 · If the goal is to sell fixed products, the solution is for an RIA to work with a Brokerage General Agency (BGA). Conceptually, a BGA is similar to a broker-dealer, except they only work in the realm of (fixed) insurance products. Fortunately, there are a lot of BGAs out there to choose from (some work nationally, many work regionally, and some ...
Selling Your RIA: Why Technology Matters in Selection
WebA registered investment advisor or RIA is an individual or firm registered with the Securities and Exchange Commission (SEC). Registration may also be required with state securities commissions, depending on the firm’s size. ... This is not an offer to buy or sell any security or interest. All investing involves risk, including loss of principal. WebSep 20, 2024 · Setting expectations and/or defining deal limitations are critical to good transaction discipline. 2. Have a Real Reason To Sell Your Business. Strategy is often … bmd registration
‘Please don’t go nuclear’ Goldman exec asks Focus partner as sale …
WebMay 18, 2024 · Perhaps the biggest concern for RIAs contemplating a sale is how it would affect their employees and clients. ENSURE EMPL OYEE AND CLIENT WELL-BEING. … WebJan 5, 2024 · (see Pt. 2 of Selling RIA for more detail) Going “to the market” and selling your firm is a time-consuming exercise with many fundamental decision, technical decisions, starts and stops, stress, frustration, excitement and satisfying experiences along the way. Establishing your “deal team” and a quarterback is essential. WebOct 21, 2024 · If your RIA makes money from commissions, make sure to ask about their fiduciary duty. Generally, as an investor, you will pay a higher percentage in fees when you have fewer assets under management. These can typically cost between 1% and 2% each year. Ask your RIA to break down their fee structures and which services they cover. Fixed … bmd retail