http://www.roadtoindependenceblog.com/2008/03/04/working-out-for-the-best/ Thu, 02 Sep 2010 01:15:43 +0000 http://wordpress.org/?v=2.9.2 hourly 1 http://www.roadtoindependenceblog.com/2008/03/04/working-out-for-the-best/comment-page-1/#comment-252 Scott Ellis Wed, 19 Mar 2008 15:33:39 +0000 ia-wordup-8623#comment-252 ok, so it appears that the B/D provides some of the same services as a turnkey asset management program. ok, so it appears that the B/D provides some of the same services as a turnkey asset management program.

]]> http://www.roadtoindependenceblog.com/2008/03/04/working-out-for-the-best/comment-page-1/#comment-251 Scott Ellis Tue, 18 Mar 2008 23:48:51 +0000 ia-wordup-8623#comment-251 ok, so it appears that the B/D provides some of the same services as a turnkey asset management program. ok, so it appears that the B/D provides some of the same services as a turnkey asset management program.

]]> http://www.roadtoindependenceblog.com/2008/03/04/working-out-for-the-best/comment-page-1/#comment-250 Michael Patton Thu, 13 Mar 2008 20:59:10 +0000 ia-wordup-8623#comment-250 An RIA is kind of like a stripped down version of a broker dealer. You are responsible for compliance and many of the things a B/D would do including creating more of your infrastructure. You may want to read my articles on this in Apr, June, Sept, and Nov of 2007. An RIA is held to a fiduciary standard which is higher than a broker’s standard. With a B/D you can do commission or fee business. As an RIA, I am fee only. I hope this helps. An RIA is kind of like a stripped down version of a broker dealer. You are responsible for compliance and many of the things a B/D would do including creating more of your infrastructure. You may want to read my articles on this in Apr, June, Sept, and Nov of 2007. An RIA is held to a fiduciary standard which is higher than a broker’s standard. With a B/D you can do commission or fee business. As an RIA, I am fee only.
I hope this helps.

]]> http://www.roadtoindependenceblog.com/2008/03/04/working-out-for-the-best/comment-page-1/#comment-249 Scott Ellis Thu, 13 Mar 2008 19:29:05 +0000 ia-wordup-8623#comment-249 Still trying to figure out all the supporting roles played by companies vying for an advisor's business. What is the primary difference between an RIA, and a broker/dealer? What did you expect to gain from having a relationship with a broker/dealer, that you were able to forego as an RIA? Still trying to figure out all the supporting roles played by companies vying for an advisor’s business. What is the primary difference between an RIA, and a broker/dealer? What did you expect to gain from having a relationship with a broker/dealer, that you were able to forego as an RIA?

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