Transition To RIA Podcast

Q145 - When Do You Need Legal Advice As Part Of An RIA Transition?

When I explain to advisors they likely will want legal advice regarding navigating their departure from their current firm, I sometimes hear a range...

Q144 - How Does An RIA Compare To An Independent Broker-Dealer?

I often encounter a phenomenon with long-tenured advisors.

As they've been born and bred at a broker-dealer, they simply assume they...

Q143 - What Is The Minimum AUM Needed To Have Your Own RIA?

What is the minimum AUM needed to have your own RIA?

Beware of anyone that gives you an immediate answer, with an immediate AUM figure...

Q142 - How Do I Evaluate An RIA To Join?

There are multiple pathways into the RIA model.

Each with pros and cons.

One of the pathways is to join an existing...

Q141 - Is It Easier To Acquire An Existing RIA Or Register A New One?

Should you register a new RIA, or simply buy an existing RIA?

If you are considering transitioning your practice to the RIA model,...