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RELUCTANT ABOUT GOING SOLO? JOIN A NETWORK

by Bridget Grimes, Katie Burke, 10/19/21
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Advisor Perspectives welcomes guest contributions. The views presented here do
not necessarily represent those of Advisor Perspectives.

Ah, the age-old dilemma: to leave or not to leave.

We've all been there at one point – stuck at a firm we are not satisfied with,
perhaps feeling out of control or underpaid, lacking flexibility and work-life
balance. Likely, it led you to question whether you should break loose, start
your own RIA, and build your business your way from the ground up.



Before you give your notice and clean out your desk, there are some careful
considerations to make. After all, leaving an established firm to go out on your
own might solve some of your problems, but they will be replaced by a new host
of obstacles and challenges.

That's not to say that you shouldn't go out on your own, but before you do, put
some thought into whether it's the right move. Do you have a business plan? A
rough idea of how you plan to bring in business? An estimate of your costs?

Consider these important aspects of your business:

 * Time: Starting your own RIA requires a significant level of time and
   dedication, as you will be required (at least at the beginning) to juggle
   many new responsibilities. Are you prepared to wear numerous hats? Do you
   have the time and energy to throw yourself into establishing and scaling your
   new business?

 * Compliance: When you break off on your own, compliance is your
   responsibility. While it's always an option to outsource this role or to hire
   a chief compliance officer, the responsibility ultimately is yours.

 * Resources: Consider all the efficiencies built into your existing firm,
   including marketing, technology, and innovations. Are you willing to risk
   those resources? Be mindful of your costs. Can you afford to pay for these
   resources on your own?



If you've thought through your options and have concluded that you're ready to
take the leap, we are excited for you and rooting for you. Starting your own RIA
is an exhilarating time, with seemingly limitless possibilities. And the best
part? You don't have to do it all on your own. Joining an RIA platform with
robust resources provides the solutions to your assorted concerns.

 * Time: A major pro to choosing an RIA platform is the option to outsource key
   functions that you don’t have the resources to cover. Passing off certain
   responsibilities means you will have more time to spend focusing on how to
   best serve your clients.

 * Compliance: While compliance is costly and time consuming, it shouldn’t be
   the reason you stay at a firm that doesn’t align with your vision or values.
   The best option for independent RIAs is to become a member firm in a
   financial network that assists with compliance coverage. These networks deal
   with the logistical details so that you don't have to.

 * Resources: Joining an RIA platform is a win-win situation. You're able to
   maintain your autonomous brand and run your business the way you want to, and
   many of the time-consuming back end tasks and costly resources are covered so
   that you're able to focus on client-facing services.

Bridget Grimes and Katie Burke co-founded Equita Financial Network out of a need
to fuel business success while empowering other women in the financial services
industry. Equita became the first platform solely focused on women-led financial
planning firms, designed to encourage women to make the leap into launching
their own practice and provide solutions to support them every step of the way.
Equita is a way for like-minded women to not only share resources and run their
business at an affordable cost, but to also share ideas on everything from best
practices to help with questions regarding client issues.

Equita Financial Network helps female financial advisors pursue an independent
path, take more control of their business, gain access to better career
opportunities, and boost their overall sense of freedom. If you’re ready to
break away from your current firm and go independent, reach out to the Equita
team.



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