Julie G. – Client Relationship Manager (Referral Advisor), $122M AUM
Formerly Registered Representative
Bertha was growing frustrated with the increasing compliance demands of her broker-dealer plus several of her clients needed a cross-border US-Canada solution. While she liked the RIA and Portfolio Manager models, becoming a referral advisor meant relinquishing her license—something she wasn’t initially comfortable with. “I wasn’t keen on giving up my license. It’s been my meal ticket,” Bertha admitted. With the help of Advisor Hunt™, Bertha evaluated her options. She ultimately joined a cross-border RIA/ICPM as a referral advisor—retaining ownership of her client relationships while offloading all compliance and administrative burdens.
Outcome:
● Freed from compliance tasks, she grew her AUM from ~$100M to $122M in under two years.
● Expanded her capabilities to serve cross-border client needs while deepening client relationships.
● Decreased total client fees while at the same time increasing her own remuneration.