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
What’s Trending: September’s Market Rally, Stock Market Updates, & AI
In this October’s Trending Report, Kevin Roskam breaks down why sticking to a disciplined, unemotional investment strategy continues to pay off—especially when the headlines say otherwise. Despite September’s reputation as a historically weak month for the markets, the S&P 500 gained 3.5%, showing once again that trends—not feelings—drive results. Kevin dives into what fueled the rally, from the Fed’s rate cut to tech sector strength, and explores how theme-based investing—like AI, automation, and clean energy—is shaping market momentum. He also reminds us that long-term success may involve tuning out political noise and short-term emotions. Tune in for key takeaways, market charts, and insights designed to help you stay focused on the data—not the drama.
Ideal Client Events in Action: Transition, Reframing, Celebration
In this episode of The Rare Advisor, host Aaron Grady is joined by USA Financial Practice Management Consultant, Allan Oehrlein, to explore three powerful types of ideal client events every advisor should be leveraging: transition, reframing, and celebration. More than just appreciation gatherings, these tailored events help you retain top relationships, build advocacy, and elevate your practice. From handling major firm changes with confidence to showcasing new processes and creating memorable client experiences, Aaron and Allan break down practical strategies to turn client events into long-term growth opportunities. This episode takes the strategy from Client Retention Strategies through Rare Experiences and provides actionable ways ideal client events can serve different purposes.
Client Retention Strategies Through Rare Experiences
In this episode of The Rare Advisor, host Aaron Grady sits down with Steve Phillips, Chief Practice Management Officer at USA Financial, to unpack the concept of the Ideal Client Event. Unlike traditional appreciation events, these gatherings are designed exclusively for your very best clients—the advocates and relationships you most want to replicate. Aaron and Steve explore the “what,” “why,” and “how” behind these events, from honoring advocacy and building community to creating a consistent client experience that drives organic growth and long-term loyalty. If you’re a financial advisor looking for ways to deepen client relationships and inspire advocacy inside your practice, this conversation is packed with practical insights and best practices you can apply right away.