Financial Advisors Want to Know: How to Successfully Transition from IBD (Independent Broker-Dealer) to RIA (Registered Investment Advisor)
Episode 36: Steven Taylor
Welcome to the Financial Advisors Want to Know Podcast, I’m Catherine Tindall a CPA with Dominion where our focus is helping financial advisors navigate income tax planning and compliance for their firms
Stephen is the owner of an SEC Registered Investment Advisory firm that provides comprehensive financial planning and investment management services. As a Certified Financial Planner™ and Attorney based in Miami, Florida, Stephen brings a unique and unparalleled level of expertise to his clients. Through his Wealth Management Practice and Limited Scope Legal Practice, he is committed to delivering exceptional value. Stephen specializes in serving self-employed professionals and small business owners who have built their businesses from the ground up.
IBD (Independent Broker-Dealer):
Refers to firms or networks that allow financial advisors to operate independently while providing them with services such as compliance, marketing, and back-office support.
Advisors affiliated with an IBD typically sell financial products like mutual funds, insurance, or securities and earn commissions.
RIA (Registered Investment Advisor):
Refers to firms or individuals registered with regulatory authorities (like the SEC or state agencies) to provide investment advice for a fee.
RIAs operate under a fiduciary standard, meaning they are legally required to act in the best interest of their clients, unlike brokers, who may operate under a suitability standard.
Connect with Steve:
https://www.linkedin.com/in/satwm/
Connect with Catherine:
https://www.linkedin.com/in/ctindallcpa/
Contact Catherine's Team:
admin@dominiones.com
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