Safe Passage: How to Move Your Business Optimally and Compliantly
Along the journey to independence, compliance is one of the most misunderstood topics. Although many advisors have a basic grasp on what their risk officers do, how to run a SEC and/or FINRA Compliant Firm is somewhat of a mystery. In this discussion we will talk about the changes to broker protocol over the past ten years, hybrid RIA(s), what to do vs what not to do, and most importantly who gets to be the chief compliance office (CCO) of a new firm.
Independence Playbook Part 7: A Credible M&A Strategy
Independence Playbook Part 6: Remove Compliance and Legal Red Tape
Independence Playbook Part 5: Move Beyond Antiquated Technology
Independence Playbook Part 4: Best Practices for Operations
Independence Playbook Part 3: Marketing YOUR New Brand
Independence Playbook Part 2: The New Transition Checklist
Independence Playbook Part 1: All Things Due Diligence
The Future of Wealth Management
How Great Leaders Combine Data and Instinct to Produce Results
Getting the Inside Scoop on the Independent Space: A Conversation with Ben Harrison
How to Find and Keep the Best Talent within Your Organization
Inside the Deal Part 4: Integration
Inside the Deal Part 3: Closing
Inside the Deal Part 2: Execution
Inside the Deal Part 1: Deal Readiness
Improving Your Communication as a Leader
Trends in the Off-Shore Advisory Space
Hungry, Humble, Smart
What it means to be a "Schwabie" - Examining the Powerful Culture of Charles Schwab through the Stories of its People
Making the Uncomfortable, Comfortable: How to Discuss the Meaning of Wealth as a Financial Advisor
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The Commercial Edge: Unleash the Power of People
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