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Nov 30, 2013 4:24 am


I work for a small planning firm that is ceasing the invesment management side of their business. I have been working there part-time and have 1.25 million in AUM. Not much i  know but I am buidling toward full time and I have  some good prospects going forward. I am looking to join an existing team at a RIA. Any ideas?

Dec 5, 2013 4:34 pm

Why “join” an existing RIA? Let me paint a scenario. The firm you join all give you accolades and tout their abilities. You bring over your clients. They tell you to leave. Then they grab your clients as you are scrambling to find work, all the while explaining to potential employers that see the “asked to resign” flag on your FINRA. It’s a jungle out there, and YEP, I’m a veteran advisor with a BUkoo bad attitude, and a crossbow. Go out on your own. You’re gonna be out on your own anyways.

Dec 6, 2013 6:38 pm

You’re young I’m assuming, why not take your 1.25 to a wirehouse, go through a top notch training program, learn the trade, build your book, and then either go RIA on your own or stay there.

To the guy above, you would really tell someone who has only worked part time and has 1.25 mil to go RIA on their own? Sounds like they asked you to leave because the advice you give.