Tag: Business model

Advisers as Hybrid W-2 and 1099 Employees

Questions about compensation lie at the heart of advisers’ decisions about independence, practice ownership and opportunities for affiliation.

The Path Forward

The various models advisers can adapt to grow their practice

An Array of Models

Some advisers find opportunities through aggregation or affilliation

Product Development Moves Beyond the 401(k) Plan

Retirement plan advisers with established 401(k) businesses are finding new revenue streams and client engagement opportunities among nonprofits and educational institutions, and in the area of estate planning.

How To Make 529 Plan Service Pay Off

Offering advice about 529 college savings plans can deepen client relationships, though such services are not usually big revenue drivers on their own.

Clear Ground Rules Essential With 3(38) Fiduciary Clients

Experts share strategies for helping advisers taking on 3(38) fiduciary clients understand how they can set up the right processes and procedures—up front—for dealing with client concerns and questions about the investment menu.

Sellers’ Market Brings Succession Planning to the Fore

RIA industry analysts and executives agree that it’s a “sellers’ market” when it comes to acquisitions and mergers among independent advisory shops; they warn many potential sellers are ill-prepared for an ownership transition.