If becoming an independent Registered Investment Advisor (RIA) fits your idea of a better future, you may have questions—from whether to establish a new firm or join an existing one, to what business model to consider.

To help you make more sense of the issue – and respond to your individual questions, Mindy Diamond, President and CEO of Diamond Consultants, will address the strategic decision to become an RIA (including starting your own or joining a firm) in this interactive web seminar. Diamond is a seasoned financial advisory services industry consultant with particular expertise on advisor career development.

Her presentation will include:

• Reasons to consider independence
• How to determine your own suitability to become an RIA
• How to assess if you should Start a firm or Join one
• Support available to help you make the move

Advisor panel discussion with:

• Peter J. Nagle CFP®, M.A.R., President and Founder, Peter J. Nagle Financial Management, LLC

Moderated by:

• Jeff Zabel, Director of Sales, TD Ameritrade Institutional

About the speakers:

Mindy Diamond is President and CEO of Diamond Consultants which she founded in 1997. With a team of 15, and in partnership with her husband, Howard, they have developed an organization that focuses on smart talent recruiting and strategic business consulting that employs a unique relationship driven approach. Nationally recognized as an authority in the field, Mindy works with the nation’s top brokerage advisory firms and consults with, trains and coaches individuals, small and large groups on state-of-the-art practices with regard to helping firms and advisors reach their full potential through a Total Growth™ approach.

Peter Nagle began his career in the financial services industry in 1980 working with Paul Revere, a large disability insurance carrier. He soon realized he wanted to be in business for himself, focusing on investments and financial planning, and joined a small financial services firm in Fairfield, Connecticut. Within two years he assumed control and Fairfield Financial Group, Inc. was born. In 2006 he relocated his business to downtown Milford, CT. This year Peter has expanded, hiring an investment manager, Jim Newman; and will be taking on a partner, Vincent Esposito. On November 1, 2011 the firm will be moving to new larger offices in Guilford, CT and it’s new name will be Spruce Hill Capital, LLC.

Sponsored by: