On Wall Street

Case for Starting or Joining a Registered Investment Advisor Firm

Making the change from a traditional broker-dealer model to full independence with the registered investment advisor model introduces a number of considerations. The registered investment advisor (RIA) model can not only offer you greater choice and flexibility, but also greater responsibility. Learn more about the RIA model, how it compares to a captive-hybrid or bank/brokerage environment and get an overview on the role of the RIA custodian. This report is designed to help you find out for yourself what a move to independence can involve—and learn from those who made the change.

Legal and Regulatory Considerations

Going independent as a registered investment advisor (RIA) introduces a number of considerations. The RIA model can not only offer greater choice and flexibility, but also greater responsibility. This industry report is designed to help you weigh the legal and regulatory considerations and requirements around going independent as an RIA.

Expanding Asset Allocation Programs with Next Generation Commodity Indices

Rethinking your commodity allocation? Learn about new investment choices that can provide diversified commodity exposure while seeking to reduce the impact of roll yield on returns. In this report, Van Eck examines how contango, backwardation and roll yield can impact returns of commodity funds and how “constant maturity” commodity index funds are designed to help investors.

Working Smarter: Advantages of Independence

What is driving the tremendous growth in the independent broker/dealer channel and should you consider getting on board? While independence can provide advisors and their clients with many advantages, choosing the right business model for you involves careful consideration of the practical and emotional aspects that come with any career move. This guide will provide you with insight on the advantages of establishing an independent practice along with valuable information to help you determine the right practice affiliation, focus, and fee model for your business.

College Savings Strategies

CollegeBoundfund®’s Practical Solutions for Emotional Goals
The key to successful long-term growth of your business isn’t simply getting more clients, it’s forging deeper relationships that lead to “stickier” business. When clients save for college, they’re putting away emotional money—it’s about dreams for their loved ones.
Our College Saving Strategies Brochure:

• Provides several ways you can incorporate 529 in your overall practice, and
• Demonstrates the benefits of education planning within the larger framework of wealth management