THIS MONTH'S FEATURES

Tips for Successfully Transitioning Your Team
Whether you're a solo advisor or a member of a team, you can do many things to help your transition go smoothly, such as hiring a competent securities attorney, abiding by the terms of your employment agreement, and making sure you only take the information you're entitled to. But when you're leaving as a team, you need to consider several additional points. Read on for some advice on how to successfully transition your team. More

Points to Ponder When Deciding Whether or Not to Keep Your Commission Business
To become an independent registered investment advisor (RIA), one of the many choices you have is whether to keep or give up your commission business. It's not always an easy decision. There are many factors that need to be considered when determining whether to go the pure fee-based RIA or the hybrid RIA route. Read on for some questions to ask yourself before you make your decision. More

Advisor Corner

Six Questions to Ask Yourself in 2011
As the year comes to a close, it's a good time to take stock of where your business is today and where it is going. That includes thinking about your current business model, how you're serving your clients' needs and where you are looking to take your business in the future. In this issue, we speak with Tom Nally, Managing Director of Institutional Sales at TD Ameritrade Institutional, to guide us through six questions advisors should be asking themselves.

Q: Do I have a business plan in place, and how can I develop and stick to that plan in 2011?
Business plans are important because they help take you where you want to go. They may not be hard to make, and they don't have to be complicated. In order to be the most effective, however, you have to take a long, hard, honest look at your personality, your business today and your hopes and dreams for the future.

First, think about where you are today. Then set out your short-term and long-term goals, taking into account factors such as your clients, employees, personal life and professional life. When you have it in writing, you can refer back to it and gauge how your plan is going. Are you interested, for example, in transitioning more to a fee-based business? Keeping more of what you earn? Joining forces with other like-minded advisors? Becoming a fiduciary? Growing your high-net worth business? These are all questions to keep in mind as you set out your goals for the future. More

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