Understanding Today’s New Reality for Financial Advisors


As a financial advisor you’re better equipped than many professionals to assess risk, in and outside of the investment arena. An area of business risk that is being talked about more and more within the industry today is the risk of remaining in a situation or role that is no longer healthy for you, your practice or your clients. As the financial services industry continues to undergo rapid change, financial advisors are seeing a transformation in the way they and their broker/dealers do business.

Advisors are increasingly concerned about broker/dealer fee increases, pressure to recommend proprietary products, and loss of control in regard to which clients they can interact with and how they serve their client base. For advisors who seek to place client needs before product placement, overhead costs, corporate mandates and other conflicts of interest, many of today’s brokerage models simply don’t work for you or your clients. That can put you at greater risk for losing clients and the potential downstream referrals and revenues those clients may have generated. A reduction in downstream revenue and the inability to attract new business can cut deeply into profitability, putting your practice at serious risk.

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Happy Advisors

Yesterday’s business models no longer meet the needs of today’s affluent investor or consumer demand for greater transparency and objectivity across all facets of wealth management.

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