Advisor at her computer
Advisor at her computer

Independent perspectives: New views of the RIA model

As you consider independence, there is a lot to navigate. We've brought together a diverse group of advisors at Registered Investment Advisor (RIA) firms and industry experts to dig into the big questions that may be on your mind.

How do you know when it's time to go independent?

Mike Smith started his own firm when he felt he could serve clients better on his own than with his former employer. See how Mike grew his new practice in the RIA model by offering clients more personalized service.

Dive Deeper Into the RIA Model to See If It's Right For You
Talk to a BDO About Timing Your Transition >

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How can you deliver the level of service clients expect?

Before going independent Fariba Ronnasi wanted to be sure her clients would receive the exceptional service she expected from Schwab. Hear how Fariba got the support she needed from Schwab Advisor Services™ throughout her journey to independence, including website creation, connecting with compliance experts, and ensuring her clients had access to the support they needed.

Dive Deeper Into All the Support Schwab Offers
Talk to a BDO About Starting Your Transition >

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How can going independent change your life?

Find out why three investment advisors decided to go independent and how they feel the power of the independent RIA model helped them achieve new levels of success—both professionally and personally.

Dive Deeper Into a New Way of Working 
Talk to a BDO About Reaching the Next Level >

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How can seeing the larger picture bring everything into focus?

Listening to your vision is the first step for Schwab’s Business Startup, Technology, and Transition Consulting Teams. Hear how they discuss your goals and create a path toward independence based on those goals—from beginning with a transition plan to helping you evolve as the needs of your clients change.

Dive Deeper Into How Schwab Can Support Your Firm
Talk to a BDO About Schwab’s Transition Services >

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How can you bring your vision for independence into the real world?

Marcy Shipman has helped many advisors transition to the RIA model and understands the challenges they face. Learn how she works to provide advisors with practical steps to bring their vision for independence to life.

Dive Deeper Into How to Take Your Firm to the Next Level >

Talk to a BDO about Taking the Next Step >

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How do you grow serving younger clients?

At 25 years old, Alan Moore built his financial planning firm, XY Planning Network, on the belief that people deserved access to financial advice regardless of their age or assets. See why it's an idea that paired perfectly with the RIA model.

Dive Deeper Into How to Build a Targeted Offer >

Talk With a BDO About Strategies for Distinguishing Your Practice >

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What should you keep in mind when evaluating potential custodians?

Jason Snipe left his independent broker-dealer to start his own firm. Two years after launching Odyssey Capital Advisors, Jason shares some lessons he learned while going independent—and what he feels is important when choosing a custodian.

Dive Deeper Into Why Advisors Choose the RIA Model >

Talk With a BDO as Part of Your Research >

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How do you create modern client experiences that defy expectations?

Jack Straub is a founder and principal at AdvicePeriod. He knows a great deal about building a firm of the future. Jack shares how RIAs are using tech to deliver what's most important to clients - and why he thinks simplicity is a potent business strategy. 


Dive Deeper into Why RIAs Are Leading the Way 

Contact a BDO to Start Building for the Future >
 

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How is the RIA model evolving now—and how could it impact your goals?

As an M&A expert, Dave DeVoe has a different view into the independent model than most. He's seen where it's been. And he reveals where investment advisors are taking it now. Learn how the flexibility built into the RIA model is becoming one of its greatest assets.

Dive Deeper Into Independence 

Talk With a BDO to Find Your Ideal Model >

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What's fueling the breakaway advisor trend?

Industry veteran Mindy Diamond is the president and CEO of Diamond Consultants. Because she is a top thought leader, many sophisticated financial advisors seek her guidance as they survey the RIA landscape. Get her unique perspective on what draws advisors out of wirehouses and into independence.

Dive Deeper Into the Reasons 

Talk With a BDO to Join the Movement >

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What are the right moves to make your dream firm a reality?

Right foot, left foot, turn, spin. Tony Parkin knows the steps to independence—how to lead and when to follow. Schwab's vice president of business consulting has helped choreograph the transitions of hundreds of investment advisors. Tony explains how, using our Firm Design Consultation, advisors can find their rhythm as they launch their firms.

Dive Deeper Into the Choreography of Transitions 

Talk With a BDO to Start Planning Your Steps >

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What is best-in-breed technology?

Janelle Ward surveys the vast technology landscape and maps out the latest ways to create efficiency in RIA firms. Coming to Schwab from TD Ameritrade Institutional, Janelle is a managing director and technology consultant. She shares how the tech support for RIAs rivals the tech support found in other channels.

Dive Deeper Into Tech Opportunities in the RIA Model 

Talk With a BDO and Discover Ways to Streamline Your Business >

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Deck 33

  • Going independent

    The RIA model gives you the control to draft your own blueprint for the future. Discover opportunities for growth and the flexibility to serve your clients the way you know is best.

  • Choosing the right path

    There are many ways to go independent. Explore the options, and learn the important questions you should ask to find the path that’s best for you and your clients.

  • Making the transition

    Moving to the independent RIA model can be an incredibly rewarding process. We’re there to support you at every step.

Plan your move

Connect with a Schwab Business Development Officer to learn how we can help you grow and succeed.

All conversations are completely confidential.

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