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Navigating Risk & Regulations

Compliance, regulatory, and cybersecurity responsibilities probably aren't the reasons you became an independent investment advisor. But they are critical to your firm's success. We can help you take on these tasks with confidence.

Safeguard your firm

You and your employees are the first line of defense against a variety of threats. Fraud, cybercrime, and even honest mistakes can adversely impact your business. We deliver insights, tools, and updates—so that you can have greater peace of mind.

Advisor Insurance >

Cybersecurity > 

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What's new in Washington

Some new rules take a long, winding journey on their way to becoming law. Other regulatory changes happen so fast that it can be hard to keep up. Our Washington experts track the latest in legislation and help you make sense of it all.

Legislative & Regulatory Affairs >

RIA Washington Watch >

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risk and safety

  • Reduce your firm's compliance risk

    Staying compliant is crucial for every firm, but the processes and forms can feel overwhelming. We get it. We can work with you to build a robust program to help reduce risk.

  • Strength and security for your assets

    Protecting your clients' assets is our highest priority. We maintain strict internal measures to safeguard assets. Our strategic business decisions help minimize risk and keep up our financial health so you can serve your clients with confidence.

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Perspectives on the economy

Our webcast series brings Schwab Center for Financial ResearchTM experts to your screen. They break down the current state of the market and the factors that could drive it moving forward.


Your path to independence begins here

Take the first step toward the Registered Investment Advisor model. Connect with a Schwab Business Development Officer for a completely confidential conversation and to learn how we can help advisors like you break free.