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In recent years, advisors started transitioning from buying and selling for a commission to charging planning fees for their advice and portfolio management after experiencing higher consumer demand for advisory services.

Eventually, this turned into the full-service RIA model that we see implemented by financial advisors today.

One reason advisors choose an RIA vs. broker-dealer model is because, historically, broker-dealers didn’t allow any tax management advice, even if it is in the client’s best interest. Another is because they offer more flexibility and allow customization of their services and client relationships. However, broker-dealers provide firms with a structure and a network of solutions.

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