In a moment, I’ll share with you twelve critical questions to ask your new, prospective firm. Whether you are thinking of changing your independent broker-dealer, IMO/FMO, RIA, or TAMP platform, these questions go far beyond what many advisors normally ask.
The typical advisor questions include the “obvious” items:
- Culture. While it may be difficult to discern what the “culture” is like at the company by just asking a few questions, you can usually identify this by talking with other affiliated advisors and/or visiting the firm before making the decision. If the home office culture is one that fits you, that’s a great first start.
- Length of tenure for team members. If employees stick around for a while, then it’s likely that the employer treats their people well. This can also be reassuring that you aren’t working with people with limited experience and knowledge in the firm.
- Regulatory history. This one is simple. Ask about their regulatory history (you can also do the homework yourself these days). Don’t forget that when you saddle up with a broker/dealer or RIA, you’ll likely feel the same regulatory “bumps in the road” that they do. Just ask any rep whose firm caught negative press over the past 5-10 years. Or worse yet, if the firm all of a sudden went out of business.
Related Posts
5 Marketing Trends for Financial Advisors in 2026
Have you noticed how fast technology is changing the way you work with clients? Artificial Intelligence (AI) isn’t just a buzzword anymore; it’s transforming how you connect, deliver value, and grow. As financial advisors, you're positioned at the unique intersection of technology, finance, and marketing—and the pace of change shows no signs of slowing down.
How Advisors Can Get 10 Hours Back Every Week
In this episode of The RARE Advisor, host Aaron Grady and USA Financial Pareto coach and Practice Management Consultant Allan Oehrlein dive into time allocation as a core lever for advisory success. They unpack the biggest time drains—email, unsolicited calls, and open-door interruptions—and lay out a practical framework for calendar rebalancing that starts with personal time, management time, client appointments, dedicated communications windows, “work on the business” time, and high-impact growth activities. With real-world stories showing how advisors shift from reactive days to structured weeks (and even reclaim Fridays), Aaron and Allan share easy-to-implement tips: color coding calendars, scheduling buffers, daily huddles, and call/appointment protocols. If you’re ready to audit your calendar, define your ideal week, and create structure that truly liberates your practice, this conversation is your next step.
What Billion-Dollar Brands Teach Advisors About Client Loyalty
In this episode of the Financial Advisor Marketing Playbook, Mark Mersman explores what billion-dollar consumer brands like Peloton, Apple, Airbnb, Disney, and Starbucks understand about loyalty—and how financial advisors can apply these lessons to their own practices. Discover why loyalty is emotional, not transactional, and learn practical strategies to create belonging, simplify your process, showcase identity, design unforgettable experiences, and personalize client interactions. Tune in to transform your value proposition and build a community your clients never want to leave.