Episodes

Episode #10: This episode is from video #10 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain how "book ownership" works in the Registered Investment Advisor (RIA) model. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) mod...

Episode #10: This episode is from video #10 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain how "book ownership" works in the Registered Investment Advisor (RIA) model. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) mod...

Episode #10: This episode is from video #10 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain how "book ownership" works in the Registered Investment Advisor (RIA) model. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) mod...

Episode #9: This episode is from video #9 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain the various AUM "minimums" you should be aware of as you consider starting your own Registered Investment Advisor (RIA). About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to t...

Episode #9: This episode is from video #9 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain the various AUM "minimums" you should be aware of as you consider starting your own Registered Investment Advisor (RIA). About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to t...

Episode #9: This episode is from video #9 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain the various AUM "minimums" you should be aware of as you consider starting your own Registered Investment Advisor (RIA). About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to t...

Episode #8: This episode is from video #8 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain the frequency of regulatory exams you can generally expect to experience as your own Registered Investment Advisor (RIA). About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to ...

Episode #8: This episode is from video #8 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain the frequency of regulatory exams you can generally expect to experience as your own Registered Investment Advisor (RIA). About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to ...

Episode #8: This episode is from video #8 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain the frequency of regulatory exams you can generally expect to experience as your own Registered Investment Advisor (RIA). About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to ...

Episode #7: This episode is from video #7 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain what the process is (or isn't, for that matter) regarding Outside Business Activities (OBAs) as your own RIA. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Register...

Episode #7: This episode is from video #7 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain what the process is (or isn't, for that matter) regarding Outside Business Activities (OBAs) as your own RIA. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Register...

Episode #7: This episode is from video #7 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain what the process is (or isn't, for that matter) regarding Outside Business Activities (OBAs) as your own RIA. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Register...

Episode #6: This episode is from video #6 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain whether or not you can have discretionary accounts in the Registered Investment Advisor (RIA) model. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Registered Invest...

Episode #6: This episode is from video #6 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain whether or not you can have discretionary accounts in the Registered Investment Advisor (RIA) model. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Registered Invest...

Episode #6: This episode is from video #6 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain whether or not you can have discretionary accounts in the Registered Investment Advisor (RIA) model. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Registered Invest...

Episode #5: This episode is from video #5 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain the length of time you can expect that a full registration of a new Registered Investment Advisor will take to formally complete. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their prac...

Episode #5: This episode is from video #5 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain the length of time you can expect that a full registration of a new Registered Investment Advisor will take to formally complete. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their prac...

Episode #5: This episode is from video #5 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain the length of time you can expect that a full registration of a new Registered Investment Advisor will take to formally complete. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their prac...

Episode #4: This episode is from video #4 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain the actual logistical steps involved in formally establishing your own Registered Investment Advisor. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Registered Inves...

Episode #4: This episode is from video #4 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain the actual logistical steps involved in formally establishing your own Registered Investment Advisor. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Registered Inves...

Episode #4: This episode is from video #4 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain the actual logistical steps involved in formally establishing your own Registered Investment Advisor. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Registered Inves...

Episode #3: This episode is from video #3 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain what the difference is between a Registered Investment Advisor (RIA) and an Investment Advisor Representative (IAR). About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the R...

Episode #3: This episode is from video #3 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain what the difference is between a Registered Investment Advisor (RIA) and an Investment Advisor Representative (IAR). About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the R...

Episode #3: This episode is from video #3 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain what the difference is between a Registered Investment Advisor (RIA) and an Investment Advisor Representative (IAR). About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the R...