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Quasi-Independence: The Sophisticated Independent Model That Offers the Best of All Worlds

Many advweaisors who explore full-on independence find that it’s just too much of a leap. For those folks, the quasi-independent space may be just the ticket.


Although the name isn’t sexy, quasi-independence is a new fangled and modern twist on registered investment advisors, emblematic of how the industry landscape has expanded to address the changing needs of the advisor population at large.

In this episode, in addition to citing several examples of quasi-independent firms, Diamond will discuss what draws advisors to the model, including:

  • Aggressive recruiting deals, oftentimes a mix of cash and equity;
  • Access to an amplified set of investment solutions;
  • Cutting-edge technology;
  • Compliance and turnkey back-office support many wirehouse advisors have come to depend upon; and
  • Their built-in safety net.

For advisors feeling constricted by the big firms, but not quite entrepreneurial enough to go it alone as an independent, this could be the answer.

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