Legal Hurdles Facing RIAs

Interest among financial advisors in going independent is as high as it’s ever been for many reasons— better economics, more flexibility, better technology, the ability to choose the investments they want to use, and above all client focus. More advisors would probably make the move sooner if not for the perceived – or more to the point, misperceived – hurdles. Legal and compliance issues generally factor in that list, but with the right partners to work with those issues become more like stepping stones than hurdles.

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