Abnormal Returns
JULY 10, 2023
investmentnews.com) Compliance There's no winning the cybersecurity war, just stalemate. financial-planning.com) Advisers don't like spending time on administrative and compliance issues. investmentnews.com) Recruiting Why aren't more women becoming advisers? thinkadvisor.com) What kind of firm is better able to retain advisers.
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Diamond Consultants
AUGUST 9, 2022
The notion of taking on the task of managing compliance, technology, HR, and finance is often what stops advisors from going independent. Plus, these platforms don’t just provide support at launch; they also offer ongoing operational, compliance, marketing, and practice management support to optimize the business for growth.
Diamond Consultants
DECEMBER 5, 2023
Increasing bureaucracy, rising compliance restrictions, diminishing freedom over investments, and client communications—just a few of the issues we hear about from advisors every day. Bound by sunset agreements The ability to acquire businesses from retiring advisors is a great way to leapfrog an advisor’s growth.
Diamond Consultants
JANUARY 10, 2023
While many veteran advisors struggle with the thought of their eventual retirement and succession, the dearth of young advisor talent to fill the ranks compounds the concern. And while these retire-in-place programs are one way to monetize your business at day’s end, they are certainly not the only way. Have a plan B.
Inside Information
MAY 30, 2023
Another uncomfortable fact is that these BDs have enormous compliance departments which supervise all of the communications put out by the reps and their offices—which is required by FINRA. The compliance people have to pre-approve their communications. Sales are important, but the BD executives won’t be talking about that.
Diamond Consultants
DECEMBER 20, 2022
With recruiting particularly active at Morgan Stanley and UBS, advisors demonstrated that it’s still the right model for many of them. That is, placing greater focus on building a business with the end in mind, even if it meant eschewing a significant recruitment package.
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