Michael Bradburn July 24, 2017

Registered Investment Advisors: If Money Was Not an Issue, What Would You Be Doing Right Now?

Would you be a Registered Investment Advisor (RIA)?  Would you even stay in the business in any capacity?  Seriously, this can be a tough business.  Especially during the early years.

As the RIA, you are the “Personnel Office” (Human Resources if you want to be precise), Accounting Department, Marketing Department, Compliance and Due Diligence officer, “Rainmaker/Producer” and more.

Then there is the issue of what product mix you want to offer, what licensing requirements are in place, what disclosure requirements and documents are necessary, how to promote your business and market yourself and a dozen more challenges.

How do you, or better yet, how did you get from one producer (you) to an actual practice?  You either asked and answered these questions, or they lie in your path to success.  Not to mention, they change routinely and in multiples.

You and the rest of us live under what we call the rule of choices; “If you have a lot of money you also have a lot of choices available to you.  If you have little or no money you have very few choices.”  So, the question posed in this writing supposes that you can either attempt to ignore the rule of money, or remove money as an issue by earning a lot more.  Which of these do you think has a greater chance for success?  By the way, this same logic resonates well with prospects and clients.  We could all “do more” if we “had more.”  Money, that is.

My wish for you is that you have sufficient cash and capital to successfully run a high-volume RIA practice.  Does this describe you?  If so, let’s assume that you either love the business or you are still building your cash toward a retirement/exit point, or both.  Here is the point…do you want to reach your goal sooner, or later?

Here are the key questions; “Are you currently operating as an RIA?  Is your business growing year over year?  Do you employ support staff?  Are you looking to accelerate your income?”  If you answered yes to any of these questions, would it be worth having a conversation about an opportunity that is tried and tested, and will increase your income in the next six months?

That’s five questions.  How many did you answer affirmatively?  Three or more?  Then we should be talking.

This article was written by one of our successful RIA clients.  These same types of questions surfaced as our client tried to differentiate and grow his practice year-over-year.  Strategically aligning himself with Capstone Capital Consulting allowed for a thoughtful solution that added real, quantifiable value to his firm and client relationships.

We are consultants to RIAs who understand that Capstone’s exclusive flavor of thoughtful, value-added financial advice deserves attention.  We are experts in the Senior Life Settlement (SLS) Business.  Senior Life Settlements are quickly gaining prominence as an Alternative Fixed-Income Investment that delivers attractive, risk-adjusted returns with built-in risk mitigation and asset growth attributes. 

In most cases our clients were NOT in the SLS business when we met.  They needed to explore and investigate the product.  Your due diligence is important.  You will soon discover that there is a lot to learn here.  But the learning curve is a gentle slope when you have Capstone on your team. 

This is not another commission based product for you to sell.  This is a new business for you to build and grow within your current practice.  We can provide answers to most of your questions, but we are not attorneys.  For more information on how Senior Life Settlements can transform your RIA practice, call Jason Bokina at 404-504-7006 or email info@capstonecapitalconsulting.com.


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