Jon’s Favorite Articles by Category

Broker Dealer & Advisor Due Diligence

• 10 Red Flags to Watch When Switching BDs
• The Trouble With Being a Big Advisor at a Small BD
• Breaking Bad Broker-Dealer Behaviors
• The Dark Side of Broker-Dealer Scale
• Is Your Broker-Dealer a Doomsday Prepper?
• The Downside of B-D Counteroffers
• Is Your Broker-Dealer a Screaming Eagle or a Box Wine?
• Price’s Law and Large Broker-Dealers
• Which Broker-Dealers Will Survive? Malcolm Gladwell Offers Some Answers

Broker Dealer Profit Centers

• Three Hidden Broker-Dealer Profit Centers Exposed
• 100% Advisory Payouts and 7 Other ‘Heresies’
• Advisors Have Much to Gain with Broker-Dealer Arbitrage

Compliance/ Fiduciary

• Whose Fiduciary Standard Are You Using?
• Which Firms Are Really Driven by Financial Planning?
• It’s All Hands on Deck as BDs Enter Rougher Waters
• Anatomy of a Fiduciary-Friendly Broker/Dealer
• IBD Regulation: Broken Windows, Broken System

RIA

• Henschen- 5 Ways RIA Beats BD.Print
• Why a Silicon Valley Advisor Became an RIA

Forgivable Note Money

• Kitces – Why Broker-Dealer Forgivable Notes Aren’t (Really) Forgiven and are Instead Ultimately Paid Back by Clients
• Upfront Money Should Be a Spice, Not a Main Course

Private Equity

• Is Private Equity Bad for Broker-Dealers?
• Is Private Equity IBDs’ Savior or Sorcerer?
• LBO Private Equity Makes Its Mark in the IBD Channel (White Paper)
• SPACs: Not So SPACtactular

Regulation

• Broker/Dealers Speak Out on Regulatory Vexation
• IBD Regulation: Broken Windows, Broken System
• Regulation Turns Off Entrepreneurs From Pursuing the IBD Channel
• Regulations Throw Sand in the Gears of Business
• The Subtle ‘Tyranny’ of Regulatory Overlords
• How Proprietary Advisory Platforms Conflict with Fiduciary Standards
• FINRA’s New ‘Restricted Firm’ Plan Is on Its Way

Education & Social Issues

• The Tragic Decline of Music Literacy (and Quality) – [ My most viral article ]
• Equal Opportunity or Equal Outcome
• The Dumbing Down of the Financial Services Industry’s Future
• Don’t Treat Others in the Workplace as Equals, Treat Them as Unique Individuals
• Our Human Capital Disaster
• Why the U.S. Must Become an ‘Aspirational’ Society Once Again
• Forced Equality Has a History of Genocidal Results
• Highly Productive People: Which Political Systems Nurture Them, Which Crush Them?
• Thomas Sowell: A Beacon of Reason in a Nonsensical World