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. Take on these tasks with confidence—and help from Schwab.
Regulatory news for RIAs
risk and safety
Manage compliance risk
Stay on top of the latest regulations and legislation with quarterly compliance commentary from some of the industry's leading consulting firms and attorneys.
Strength and security for your assets
Protecting your clients' assets is our highest priority. Learn about Schwab's stringent internal practices and business standards designed to keep client assets safe.
Schwab Market Talk – Your market questions, answered
Get the scoop on the current state of the market from our Schwab Center for Financial ResearchTM experts. Each month, they share the latest perspectives and answer questions from advisors.
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.