Auditing, Economics, Math and Tax Planning

Dropping A B/D License Without Dropping Current B/D Platform

CFO News Room

NOVEMBER 15, 2022

I think the biggest thing that started it was when we would have our branch audits, we never had any feedback about something on the RIA side. I mean, did you have a lot of business or existing clients on the BD side or paying BD trails, where there were a bunch of economic ramifications of doing this decision? Or, where’s this?

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Planning Accounting Compliance Math

Using Detailed Meeting Checklists to Drive Referral Growth

CFO News Room

NOVEMBER 22, 2022

I think the industry likes to tell a story that one of the big drivers from insurance and brokerage firms to RIAs is essentially the economics of it. And you start doing the math of the staff, and you’re like, “I can hire people for less than this.” And the economics, they ultimately worked out long term.

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Corporate Finance Brief

Dropping A B/D License Without Dropping Current B/D Platform

Using Detailed Meeting Checklists to Drive Referral Growth

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