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Dec 12, 2009 11:56 pm

Are there any good books on going from a wire to Indy?

Dec 13, 2009 12:05 am


It is the book you currently have. lol. book of business.

But are we talking about Wirehouse to Independent Broker Dealer?
or wirehouse to 100% independent registered investment advisor RIA?

Wirehouse to Indy is easy. lol

Indy broker dealer is a wirehouse where you pay your own expenses but get a little bit more payout. =) and ok… you do see your compliance person less frequently.

Dec 13, 2009 1:07 am

Can’t imagine anyone woould actually write a book on that subject. But if you find one, don’t bother throwing out your money. You’ll learn more by searching this forum than you will from any book.

  If you have specific questions, PM me. I did it earlier this year.
Dec 13, 2009 1:27 am

Yes, Go to and order “Going Independent”.   It’s free.

Dec 14, 2009 5:24 am

I’ve recommended this book many times…    
Dec 14, 2009 7:36 am

If you really want reading material… start with the resources provided but the custodians. TradePMR, Scottrade, Fidelity all have their own guides to going indy. Fidelity’s I recall being over 50 pages, very in depth.

Dec 30, 2009 4:40 pm

If you haven't already read it, I would recommend you read the book called "How to move your book of clients to the Independent channel".  This was on the NY Best Sellers List for 19 weeks last year.  Send me a money order payable to "cash" in the amount of $500 and I will put it in the mail today.  Promise.....