Latest / Transition To RIA Podcast
Q82 - Won't Large RIAs Have The Same Challenging Compliance Departments As Broker-Dealers?
A common frustration by financial advisors in the broker/dealer model is a burdensome compliance department.
This is often the result of the firm managing compliance to the lowest common denominator amongst thousands of advisors at the firm.
An inaccurate assumption about the RIA model is that joining an RIA with similar growth aspirations will lead to a compliance burden no better than what the advisor is trying to get away from at their broker/dealer.
In this episode, I explain why this is a faulty comparison and how the RIA model is different.
Come take a listen!
P.S. Prefer video? You can…
The skinny
The skinny isn't ready yet — notes appear once the transcript is processed.