Q76 - Can I Accommodate Concentrated Stock Positions As An RIA?
Episode description
There are many misconceptions about the RIA model.
- You can’t take your legacy commission business with you…..false.
- You’ll spend all your time on compliance…..false.
- You can’t use alternative investments…..false.
- The technology is inferior…..false.
I could go on and on.
In this episode of the Transition To RIA question & answer series, I address another falsehood: You can’t accommodate clients who have concentrated stock positions.
You can indeed.
Come take a listen!
Show notes: https://TransitionToRIA.com/can-i-accommodate-concentrated-stock-positions-as-an-ria
About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has 20+ years of industry experience, including direct RIA related roles in Compliance, Finance and Business Development. He has an MBA and has held the 4, 7, 24, 63 & 65 licenses. On his website (TransitionToRIA.com) he has a large catalog of free videos, articles, whitepapers, as well as other resources to help advisors understand the RIA model and how it would apply to their unique circumstances.