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CFP®, Fully Licensed and 100% Clueless

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Dec 4, 2011 2:25 am

Hi, thanks for reading this!

I've been in sales and sales management for a well respected (NY-based partnership, went public late 90's, two last names) and am looking to move into personal production and find my way back home to Denver.  As i've been in the industry for about 8 years, i've worked with all of the wirehouses and independent shops, though from the other side of the desk, and am familiar with each of their models and most of the pros and cons. 

At this stage, I've narrowed it down to starting my own RIA or joining an existing RIA, but i've been having some challenges finding existing RIAs looking to add a planner to their business.  I'm confident in my sales skills, and am wondering what your thoughts are on the best way to find RIAs or independent advisors looking to expand their business.  I realize the challenges in starting my own firm without having spent time in a wirehouse previously, and am willing to take this risk. 

What are your thoughts on A) the best way to find existing partnerships looking to expand their business?  B)What is your advice on the best way to enter this side of things, having already obtained CFP®, S24 and other necessary licenses. 

Thank you.

Feb 24, 2012 1:55 am


As far as joining an existing RIA, unfortunately I can't speak to the best way of finding existing partnerships that want to expand their business.  I do however, assist advisors that are looking to start their own RIA.  I'm a compliance consultant that assists advisors with the registration process and setting up their compliance programs, as this is a responsibility of independent RIAs.  

I have a great contact that may be able to assist you.  You can visit and they may be able to assist in advising you on finding an RIA and/or starting your own.  When/if you've made the decision to start your own, I can assist you on the compliance side.  My website is

Good luck!