Steps to Becoming an RIA

Going independent is a big move. Our guide can help you find your footing and move forward with confidence.

Moving to the independent Registered Investment Advisor (RIA) model frees you to put clients first. To keep more of what you earn. To grow your practice on your terms. 

The RIA Roadmap offers a step-by-step approach to help you assess where you are—and where you want to go. Here, you can find valuable information and guidance for each stage, including:

  • Defining your business strategy
  • Preparing for legal and compliance issues
  • Connecting with resources to help set up your office
  • Converting your accounts
  • Strengthening your practice
The RIA Roadmap

Complete this form to download the guide

This form helps us connect you with the right people to answer any questions you have about making the move to independence. We’ll also send you insights from Schwab Advisor Services™.

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Why Schwab

There's no substitute for experience. Schwab has supported independence since the movement began. Learn the three intangibles that set us apart as a custodian.

3 reasons RIAs choose Schwab

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