Bob Margolis

In order to be the quality planner that Dorie appears to be one needs to fully understand the human equation. This means the following real risks of life that keep planner clients “up at night”: 1. Living to long 2. dying to soon 3. becoming disabled 4. extended care problems.

Dorie Rosenband's post-maternity return to Smith Barney shocked her into becoming a RIA

Dorie Rosenband: I invested $150,000 and still haven’t taken a salary, so this was a significant financial event for my family, but so worthwhile!

Schwab

Smith Barney

Dorie Rosenband

There are about $5 trillion of assets parked in traditional stock brokerage firms, but they're not likely to stay there. Every month, clients move some of their money to independent firms with fewer conflicts of interest. Brokers who want more control are moving their books of business, too.
In these Breakaway Stories, you'll find instructive, encouraging and sometimes funny stories about these breakaway brokers and their clients. The information in the stories is accurate as of the date of publication. We hope these tales are useful for breakaway prospects and for people interested in luring wirehouse talent to their firms.

Breakaway Stories

The RIA business is many good things but integrated from a gender standpoint is not one of them. This is not so great. Women are the majority of humanity and they have an asset-building strategy that can't be beat. Women outlive their beer-and-steak mates and end up with big estates. But today's women have too another strategy -- pursuing wealth in the workplace. Yet when they go to find fellow women to talk all this through with, they don't readily find them. 

Companies big and small have for decades fallen over themselves to say that they have women's initiatives but I can't think of one that has amounted to much. But there are stories-- dozens or hundreds -- of them about women exerting their influence on this business and we are starting to collect them. It's a starting place -- documenting the ground being covered by women in the form of engaging tales graphically depicted by the physiognomy of the fairer sex.

Women of Wealth Management

Seeking to build a practice serving women-in-transition, she hopes to attract other women advisors, too

Dorie Rosenband's post-maternity return to Smith Barney shocked her into becoming a RIA

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Dorie Rosenband's post-maternity return to Smith Barney shocked her into becoming a RIA

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