Episodes

I'm Brad Wales with Transition To RIA. This is episode #52 of the Transition To RIA question and answer series where I answer RIA related questions I get from advisors just like you. There are fun and exciting parts to transitioning your practice to the RIA model. To name a few: - How will you brand and market your new practice? - With newfound flexibility, will you add to your service offering? - Are there additional client profiles you’d like to target? Also important is how you handle th...

I'm Brad Wales with Transition To RIA. This is episode #52 of the Transition To RIA question and answer series where I answer RIA related questions I get from advisors just like you. There are fun and exciting parts to transitioning your practice to the RIA model. To name a few: - How will you brand and market your new practice? - With newfound flexibility, will you add to your service offering? - Are there additional client profiles you’d like to target? Also important is how you handle th...

I'm Brad Wales with Transition To RIA. This is episode #52 of the Transition To RIA question and answer series where I answer RIA related questions I get from advisors just like you. There are fun and exciting parts to transitioning your practice to the RIA model. To name a few: - How will you brand and market your new practice? - With newfound flexibility, will you add to your service offering? - Are there additional client profiles you’d like to target? Also important is how you handle th...

Something I do with almost all financial advisors I talk to, is to explain the various PATHWAYS INTO THE RIA MODEL. For some, that will be starting their own RIA. For others, it will be joining an existing firm. Whereas others pursue a middle of the road path that is essentially a mix of the two. Of these options, WHY JOIN AN EXISTING RIA, WHEN YOU CAN PERHAPS START YOUR OWN? In my latest episode for my RIA question & answer series, I explain why many advisors are concluding that joining an...

Something I do with almost all financial advisors I talk to, is to explain the various PATHWAYS INTO THE RIA MODEL. For some, that will be starting their own RIA. For others, it will be joining an existing firm. Whereas others pursue a middle of the road path that is essentially a mix of the two. Of these options, WHY JOIN AN EXISTING RIA, WHEN YOU CAN PERHAPS START YOUR OWN? In my latest episode for my RIA question & answer series, I explain why many advisors are concluding that joining an...

Something I do with almost all financial advisors I talk to, is to explain the various PATHWAYS INTO THE RIA MODEL. For some, that will be starting their own RIA. For others, it will be joining an existing firm. Whereas others pursue a middle of the road path that is essentially a mix of the two. Of these options, WHY JOIN AN EXISTING RIA, WHEN YOU CAN PERHAPS START YOUR OWN? In my latest episode for my RIA question & answer series, I explain why many advisors are concluding that joining an...

I'm pleased to report I am now up to episode #50 of my RIA explanatory series! Ironically, I was once told making such episodes would never work. Well, after ignoring that advice, turns out people like (and prefer!) genuine educational content. No one wants to be sold to. Continuing that same theme with episode #50, I was fortunate to be joined by Tim Rembowski of DPL Financial Partners. Tim and I discuss how one of the common misconceptions about the RIA model is not being able to offer ins...

I'm pleased to report I am now up to episode #50 of my RIA explanatory series! Ironically, I was once told making such episodes would never work. Well, after ignoring that advice, turns out people like (and prefer!) genuine educational content. No one wants to be sold to. Continuing that same theme with episode #50, I was fortunate to be joined by Tim Rembowski of DPL Financial Partners. Tim and I discuss how one of the common misconceptions about the RIA model is not being able to offer ins...

I'm pleased to report I am now up to episode #50 of my RIA explanatory series! Ironically, I was once told making such episodes would never work. Well, after ignoring that advice, turns out people like (and prefer!) genuine educational content. No one wants to be sold to. Continuing that same theme with episode #50, I was fortunate to be joined by Tim Rembowski of DPL Financial Partners. Tim and I discuss how one of the common misconceptions about the RIA model is not being able to offer ins...

This is episode #49 of the Transition To RIA question and answer series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I answer the question.....How Long Does It Take To Transition To The RIA Model? Pop quiz: How do you know someone does CrossFit? Answer: Don’t worry, they will tell you! I can make this joke as I previously did CrossFit for many years….and yes, I’m sure I talked about it! One of the lasting lessons I...

This is episode #49 of the Transition To RIA question and answer series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I answer the question.....How Long Does It Take To Transition To The RIA Model? Pop quiz: How do you know someone does CrossFit? Answer: Don’t worry, they will tell you! I can make this joke as I previously did CrossFit for many years….and yes, I’m sure I talked about it! One of the lasting lessons I...

This is episode #49 of the Transition To RIA question and answer series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I answer the question.....How Long Does It Take To Transition To The RIA Model? Pop quiz: How do you know someone does CrossFit? Answer: Don’t worry, they will tell you! I can make this joke as I previously did CrossFit for many years….and yes, I’m sure I talked about it! One of the lasting lessons I...

This is episode #48 of the Transition To RIA question and answer series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I answer the question.....Why Should An RIA Use LinkedIn? “Do you know how hard it is to think someone's a jerk who asks you interesting questions about your background?” This was from Sara Grillo who joined me on this episode discussing an almost fool-proof strategy for how to connect with potential c...

This is episode #48 of the Transition To RIA question and answer series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I answer the question.....Why Should An RIA Use LinkedIn? “Do you know how hard it is to think someone's a jerk who asks you interesting questions about your background?” This was from Sara Grillo who joined me on this episode discussing an almost fool-proof strategy for how to connect with potential c...

This is episode #48 of the Transition To RIA question and answer series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I answer the question.....Why Should An RIA Use LinkedIn? “Do you know how hard it is to think someone's a jerk who asks you interesting questions about your background?” This was from Sara Grillo who joined me on this episode discussing an almost fool-proof strategy for how to connect with potential c...

This is episode #47 of the Transition To RIA question and answer series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I answer the question.....10 Reasons To NOT Start An RIA? There are pros AND cons to starting your own RIA. There is no golden goose. No firm or affiliation model is perfect in every way. What I frequently run into though are advisors who have heard of various reasons as to why they should NOT start t...

This is episode #47 of the Transition To RIA question and answer series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I answer the question.....10 Reasons To NOT Start An RIA? There are pros AND cons to starting your own RIA. There is no golden goose. No firm or affiliation model is perfect in every way. What I frequently run into though are advisors who have heard of various reasons as to why they should NOT start t...

This is episode #47 of the Transition To RIA question and answer series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I answer the question.....10 Reasons To NOT Start An RIA? There are pros AND cons to starting your own RIA. There is no golden goose. No firm or affiliation model is perfect in every way. What I frequently run into though are advisors who have heard of various reasons as to why they should NOT start t...

This is episode #46 of the Transition To RIA question and answer series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I answer the question.....how do I obtain Errors & Omissions insurance ("E&O") as my own RIA? Transitioning to the RIA model 30 years ago was hard. Transitioning to it today, not so hard. However, the latter assumes you are familiar with the steps involved in how to do so. As I frequently explain to a...

This is episode #46 of the Transition To RIA question and answer series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I answer the question.....how do I obtain Errors & Omissions insurance ("E&O") as my own RIA? Transitioning to the RIA model 30 years ago was hard. Transitioning to it today, not so hard. However, the latter assumes you are familiar with the steps involved in how to do so. As I frequently explain to a...

This is episode #46 of the Transition To RIA question and answer series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I answer the question.....how do I obtain Errors & Omissions insurance ("E&O") as my own RIA? Transitioning to the RIA model 30 years ago was hard. Transitioning to it today, not so hard. However, the latter assumes you are familiar with the steps involved in how to do so. As I frequently explain to a...

This is episode #45 of the Transition To RIA question and answer series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I answer the question.....how to charge for financial planning? Ever have a prospective client where an AUM fee model is not feasible, and/or desired? The common example is a doctor shortly out of residency. These so-called HENRY’s (High Earning, Not Rich Yet) want the advice you provide, but don’t ye...

This is episode #45 of the Transition To RIA question and answer series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I answer the question.....how to charge for financial planning? Ever have a prospective client where an AUM fee model is not feasible, and/or desired? The common example is a doctor shortly out of residency. These so-called HENRY’s (High Earning, Not Rich Yet) want the advice you provide, but don’t ye...

This is episode #45 of the Transition To RIA question and answer series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I answer the question.....how to charge for financial planning? Ever have a prospective client where an AUM fee model is not feasible, and/or desired? The common example is a doctor shortly out of residency. These so-called HENRY’s (High Earning, Not Rich Yet) want the advice you provide, but don’t ye...