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Firms are trying to poach Advisory businesses with payout schemes that can endanger you.



European banking regulations are hitting state-side Advisors. This month’s article discusses what you need to know about coming compensation trends, and how to protect your business. There are viable alternatives, and they may be surprising to you.


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  • Hybrids, Independents, and RIAs: You can gain easy capital to start your own firm but you’ll give up equity. Pure play independence gives up less. Both options offer tier-one custody.
  • RIAs are Less Risky: Brokers seeking independece are choosing to “tuck in” to existing RIAs rather than creating their own infrastructures and putting their own capital at risk..
  • Roping in Admin: Brokers are inviting treasured admin staff to participate in their business on a percentage basis.
  • Accouting Rules Targeting International: A new accounting rule may require that Brokers moving their ineternational clients will need to prove that thier money is clean.

You may delay, but time will not. — Benjamin Franklin