The independent RIA life: Unscripted
Real talk with real investment advisors
Meet the investment advisors from the video series
Eric Rosel, CFP®, CIMA®
Founding partner of Morgan Rosel Wealth Management
From working for a family-run oil field to working for international wirehouses, Eric Rosel brings a unique perspective to financial services. He’s been through many business and investment situations clients are facing. He also has three kids with his high school sweetheart, so he enjoys the work-life balance independence has created for him.
Sarah Keys, J.D., M.A.
Founding partner of Cardan Capital Partners
Diverse experience is one of many strengths Sarah brought with her as she helped start Cardan Capital Partners. She has 12 years in wealth management under her belt and practiced law for four years prior to that. Exceptional service is one thing she won’t sacrifice in her career, which is a big part of why the RIA model appeals to her.
Growth—relationships and surprises
Sarah and Eric were told to expect growth in the independent space. They didn't realize how much. Join them as they share what happened and where they found success.
Watch video: Unscripted: Growth
Candid conversation—challenges and rewards
A lot changes when you go independent. Like most investment advisors, Eric and Sarah worried about how clients would react, if they would have access to the tech they needed, or how they would establish their own culture. Hear how it all played out when they broke free.
Watch video: Unscripted: CultureWork-life balance can be hard for investment advisors to achieve. By shifting to the independent RIA model, Sarah Keys and Eric Rosel were each able to shape their own firm’s culture.
Watch video: Unscripted: AccessWill you be able to access the same products and technology if you leave your current firm? Both Eric Rosel and Sarah Keys found greater access—and affordable options—by launching independent RIA firms.
Watch video: Unscripted: RewardsWhat would you do differently if you could create the client experience you want? Investment advisors Eric Rosel and Sarah Keys took control to make the most of independence.
The transition—first steps to final calls
The day you leave your firm is one you’ll never forget. Eric and Sarah share very different experiences in the steps leading up to their transition and the big day itself.
Watch video: Unscripted: PathwayTwo investment advisors compare the paths they took to independence and the choices they made when planning the move. Discover why each chose the RIA model.
Watch video: Unscripted: TransitionThe day advisors leave their previous firm is one they never forget. Eric Rosel and Sarah Keys share their different experiences leading up to their transitions and the big day itself.
Going independent cards
The RIA model gives you the control to draft your own blueprint for the future. Discover greater 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 our innovation, insights, and resources can help you own your future and better serve your clients.
All conversations are completely confidential.