Transition To RIA Podcast

Q146 - How Long Does It Take To Register An RIA?

I am often asked how long it takes to register an RIA.

The simple answer is typically 45-90 days, though in some scenarios it could...

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...