Free Resources


Is Your Broker Dealer in a Death Spiral? 4 Steps to Discovery

Article featured on ThinkAdvisor provides advisors with due-diligence steps to avoid being blindsided by their BD closing

The Chilling Effect of an Over-Zealous FINRA’s Gibbeting

Article featured on ThinkAdvisor compares FINRA’s heavy handed regulation to medieval gibbetting.

Which Broker-Dealers Will Survive?

Article featured on ThinkAdvisor looks to author Malcolm Gladwell for some answers.

How Super OSJs Bring Innovation to Broker-Dealers

Article featured on ThinkAdvisor explores how OSJs bring a steady flow of new clients and additional revenue streams from outside sources.

The Pros and Cons of Getting Your Own RIA

Chart provides a side-by-side comparison to having your own RIA in a hybrid model vs. being under a broker dealer’s corporate RIA

Three Hidden Broker-Dealer Profit Centers Exposed

Article featured in Investment Advisor, March 2015

The Small, Generalist Broker-Dealer: RIP?

Article featured in Investment Advisor, April 2014

6 Overlooked Criteria for Broker-Dealer Due Diligence

Article featured in Investment Advisor, October 2012

The Decline of Insurance-Owned Broker-Dealers

Article featured in Investment Advisor, November 2011 

Top Five Reasons Advisors Change Broker/Dealer

Article featured in Investment Advisor, October 2011 

Are You a Candidate for Independence?

Article featured in Investment News, February 2011 

Which B/D Model Works Best?

Article featured in Investment Advisor

Transition Guide

Transition Guide to Moving Your Book.

Questions to Ask

Questions to Ask When Changing Your Broker/Dealer as featured in ProducersWeb

Transition Money Options

Independent B/D Transition Money Options as featured in Investment Advisor

Independent Broker Dealer Transition Support Variables

White Paper explores the vast differences in direct transition help and financial support offered by IBDs 

How to Evaluate Broker Dealer Service

White Paper explores the four factors that impact service quality