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To B/D, or Not to B/D

That is the Question.

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To B/D, or Not to B/D

That is the Question.

Learn More

We Understand

More and more financial advisors with broker dealer affiliations are questioning their B/D-only relationship. We are at a unique time in history, where the demands of clients, financial advisors, and the financial service industry providers are all changing simultaneously. Many Broker/Dealers have become behemoths; if you do not have a big voice, you will quickly get lost in the shuffle. Clients want more of everything – service, technology, investment products, and quality service – all at an ever-lower cost. In the independent B/D space, there is an increasing number of mergers and acquisitions that are giving rise to super aggregators: Osaic Wealth, Cetera, and LPL.

Business Model Progression

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Registered representatives, enterprise groups, and OSJs are witnessing these changes and are asking, “what do I really want to be when I grow up?”

“How can I maximize the value of my business?” 

Home for Hybrids, LLC (HFH) is a resource to advisors looking to sift through the options and issues related to staying or going.

The scope of this data is oriented towards a financial advisor, enterprise group, or OSJ who is currently affiliated with:

  1. A B/D and considering making a move from B/D-only
  2. A B/D + Corporate RIA
  3. A B/D with a relationship with an outside RIA
  4. An RIA only
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Questioning Your B/D Relationship

Here are some questions to consider when thinking about staying-with or leaving your current B/D relationship:

  1. Who am I?
  2. Is my current home best for me?
  3. What is out there?
  4. What are positives and negatives to making a change?
  5. If I make a change, where is the best fit for me?
  6. If I decide to move what are the economics for my clients, my organization, and me?
Ask Us
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Searching for Succession Solutions

We hear every day from advisors, enterprise groups, and OSJs about some of the considerations keeping them up at night:

  1. I’ve waited too long, is it too late?
  2. The person I identified is no longer a good fit, now what?
  3. How can I maximize the value of what I’ve worked so hard to build?
  4. What’s the continuity plan for my staff and my clients?
  5. I’m not ready to exit but I’d like to reduce my capacity, are there options?
  6. I’m worried about making the wrong decision, how can I test the waters before diving in?
Let’s Connect

Who Am I?

What type of advisor or group are you currently, and what type of advisor or group do you want to be?

We try to simplify things and analyze three categories of advisors for interested parties:

If you are a Transitional Wealth Planner with a more sophisticated client base that demands a more robust offering including complex and holistic financial planning and are looking for a more advanced investment product platform to support that financial plan, then a B/D with a corporate RIA may be the best choice for you.
Transitional Wealth Planner
*Transitional Wealth Planners focus on the following transitional events: retirement, inheritance, change in marital status, relocation, loss of a loved one, sale of a business.
If your clients view you as only a product solution provider, whether off-the-shelf or built and managed by you and your team, a traditional B/D relationship may be your best fit. Practices built around mutual funds, c-shares, variable annuities, and other B/D-based products typically are a good fit for a strictly-B/D style affiliation model, too.
Product Solution Provider
Finally, if you provide a pure planning business (no legacy income from a b/d based investment products) and focus on a financial planning offering alongside fee-based investments, TAMP’s, and self-built portfolios, then a pure RIA may be the best choice for you.
Pure Planning Business

*Transitional Wealth Planners focus on the following transitional events: retirement, inheritance, change in marital status, relocation, loss of a loved one, sale of a business.

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*Home for Hybrids provides information for growth and business development for financial advisors, enterprise groups, and OSJs, providing educational information in the field of business consulting and business development focusing on software and technology implementation and support, marketing assistance, efficiency training, and networking capabilities.