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Moving to the Advisory side

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May 24, 2014 5:07 pm

I am a long term Commodity broker looking to move to the advisory side of the business. I have passed the series 65 and am prepared to take the 7. Wondering if setting up my own RIA would be my best bet. Any thoughts?

Jun 26, 2014 2:11 pm

Hi Don_1958,

If you are confident in your ability to build your own practice from scratch then the RIA model is often the best longterm bet. From a business perspective you’ll have more control over your fee structure and business process.

I recommend outsourcing as much of the back office and compliance stuff as possible so you can focus on building your practice.



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