Episodes

This is episode #44 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.....what is the minimum amount of assets under management (AUM) you need to be able to start your own RIA? In theory, this should be a relatively simple question to answer. In practice though, and considering all of the variables involved, it is much more nuanced. There are a few d...

This is episode #44 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.....what is the minimum amount of assets under management (AUM) you need to be able to start your own RIA? In theory, this should be a relatively simple question to answer. In practice though, and considering all of the variables involved, it is much more nuanced. There are a few d...

This is episode #44 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.....what is the minimum amount of assets under management (AUM) you need to be able to start your own RIA? In theory, this should be a relatively simple question to answer. In practice though, and considering all of the variables involved, it is much more nuanced. There are a few d...

This is episode #43 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 run the business side of my own RIA? Having your own RIA involves identifying and utilizing various solution providers to assist you in successfully running your practice. These solution providers often include compliance consultants, technology vendors, marketing expe...

This is episode #43 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 run the business side of my own RIA? Having your own RIA involves identifying and utilizing various solution providers to assist you in successfully running your practice. These solution providers often include compliance consultants, technology vendors, marketing expe...

This is episode #43 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 run the business side of my own RIA? Having your own RIA involves identifying and utilizing various solution providers to assist you in successfully running your practice. These solution providers often include compliance consultants, technology vendors, marketing expe...

This is episode #42 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 capstone question of.....how do I start my own RIA? I address, among other things: ✔️ Why transitioning your practice to the RIA model doesn't have to be complicated. ✔️ The three distinct approaches to the model. ✔️ Why you might choose one of the approaches over another. ✔️ How this ma...

This is episode #42 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 capstone question of.....how do I start my own RIA? I address, among other things: ✔️ Why transitioning your practice to the RIA model doesn't have to be complicated. ✔️ The three distinct approaches to the model. ✔️ Why you might choose one of the approaches over another. ✔️ How this ma...

This is episode #42 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 capstone question of.....how do I start my own RIA? I address, among other things: ✔️ Why transitioning your practice to the RIA model doesn't have to be complicated. ✔️ The three distinct approaches to the model. ✔️ Why you might choose one of the approaches over another. ✔️ How this ma...

Episode #41: This is episode #41 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 am joined by special guest Sharron Ash, where together we address: ✔️ The profile of advisor that needs to be familiar with these legal considerations. ✔️ The "broker protocol" and when/how a transitioning advisor might utilize it. ✔️ Considerations to be aware of beyond just general so...

Episode #41: This is episode #41 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 am joined by special guest Sharron Ash, where together we address: ✔️ The profile of advisor that needs to be familiar with these legal considerations. ✔️ The "broker protocol" and when/how a transitioning advisor might utilize it. ✔️ Considerations to be aware of beyond just general so...

Episode #41: This is episode #41 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 am joined by special guest Sharron Ash, where together we address: ✔️ The profile of advisor that needs to be familiar with these legal considerations. ✔️ The "broker protocol" and when/how a transitioning advisor might utilize it. ✔️ Considerations to be aware of beyond just general so...

Episode #40: This episode is from video #40 of the Transition To RIA video series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. In this episode, I address: ✔️ You're probably receiving less in payout than you realize✔️ The importance of an itemized bill vs bundled bill✔️ Some painful math regarding your payout✔️ How this all compares to the RIA model About Host: Brad Wales is the founder of Transition To RIA, where he helps financial ad...

Episode #40: This episode is from video #40 of the Transition To RIA video series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. In this episode, I address: ✔️ You're probably receiving less in payout than you realize✔️ The importance of an itemized bill vs bundled bill✔️ Some painful math regarding your payout✔️ How this all compares to the RIA model About Host: Brad Wales is the founder of Transition To RIA, where he helps financial ad...

Episode #40: This episode is from video #40 of the Transition To RIA video series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. In this episode, I address: ✔️ You're probably receiving less in payout than you realize✔️ The importance of an itemized bill vs bundled bill✔️ Some painful math regarding your payout✔️ How this all compares to the RIA model About Host: Brad Wales is the founder of Transition To RIA, where he helps financial ad...

Episode #39: This episode is from video #39 of the Transition To RIA video series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I am joined by podcasting expert, Matt Halloran to explain how as an RIA you can establish your own podcast to better position yourself in the marketplace and attract new clients. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and underst...

Episode #39: This episode is from video #39 of the Transition To RIA video series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I am joined by podcasting expert, Matt Halloran to explain how as an RIA you can establish your own podcast to better position yourself in the marketplace and attract new clients. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and underst...

Episode #39: This episode is from video #39 of the Transition To RIA video series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I am joined by podcasting expert, Matt Halloran to explain how as an RIA you can establish your own podcast to better position yourself in the marketplace and attract new clients. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and underst...

Episode #38: The Certified Financial Planner (“CFP”) designation is arguably the mostly widely recognized professional designation within the financial services industry. From a purely regulatory perspective, holding a CFP is not required in order to start/maintain your own Registered Investment Advisor (“RIA”). Depending on the state you reside in, the designation can however often be used in lieu of a Series 65 or 66, that would otherwise be required to establish your Investment Advisor Repres...

Episode #38: The Certified Financial Planner (“CFP”) designation is arguably the mostly widely recognized professional designation within the financial services industry. From a purely regulatory perspective, holding a CFP is not required in order to start/maintain your own Registered Investment Advisor (“RIA”). Depending on the state you reside in, the designation can however often be used in lieu of a Series 65 or 66, that would otherwise be required to establish your Investment Advisor Repres...

Episode #38: The Certified Financial Planner (“CFP”) designation is arguably the mostly widely recognized professional designation within the financial services industry. From a purely regulatory perspective, holding a CFP is not required in order to start/maintain your own Registered Investment Advisor (“RIA”). Depending on the state you reside in, the designation can however often be used in lieu of a Series 65 or 66, that would otherwise be required to establish your Investment Advisor Repres...

Episode #37: One of the most exciting aspects about transitioning to the RIA model is creating your marketing plan for your new firm. This is where you get to bring to life the vision you’ve always had of exactly how you want to position your firm in the marketplace. What name you want to call your firm. The logo you want to use. How your website will appear. The look, feel and message of your brand. In this episode I am joined by Claire Akin of Indigo Marketing Agency, a specialty marketing fi...

Episode #37: One of the most exciting aspects about transitioning to the RIA model is creating your marketing plan for your new firm. This is where you get to bring to life the vision you’ve always had of exactly how you want to position your firm in the marketplace. What name you want to call your firm. The logo you want to use. How your website will appear. The look, feel and message of your brand. In this episode I am joined by Claire Akin of Indigo Marketing Agency, a specialty marketing fi...

Episode #37: One of the most exciting aspects about transitioning to the RIA model is creating your marketing plan for your new firm. This is where you get to bring to life the vision you’ve always had of exactly how you want to position your firm in the marketplace. What name you want to call your firm. The logo you want to use. How your website will appear. The look, feel and message of your brand. In this episode I am joined by Claire Akin of Indigo Marketing Agency, a specialty marketing fi...