Making the transition
Thousands of advisors have turned to us to help transition their business to the Registered Investment Advisor (RIA) model. We help you customize a plan to move client accounts and get you up and running fast.
Put experience on your side
Even though you're new to independence, you can bring over 30 years of experience into your transition. Our tenured consultant teams can guide you through every step of setting up your future firm.
What's going independent really like?
There are many different ways to move to the RIA model. Learn how two investment advisors planned their routes, from timing and research to the day they made the transition.
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: ClientsWill 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.
Guiding you through your transition
With Schwab by your side, you can be confident that you're making the right moves for your clients, your team, and yourself. Our specialized consultants help you anticipate the challenges ahead and overcome obstacles. We help you put your custom plan into action using a process that has helped thousands of investment advisors like you transition successfully.
Get the most out of Schwab's technology
Our industry-leading professionals and support will help you build your tech strategy and make sure you get the most out of our comprehensive digital platform and network of third-party integration providers.
Key considerations for launching your firm
Everything starts with a vision: yours. Brian Hamburger breaks down what it means to have a clear plan so that you can launch your firm with as little interruption as possible.
Watch video: Brian Hamburger: Employment considerations
Learn what your exit could look like.
Your timeframe for leaving, and what information you can transfer between firms, depend on what agreements you might have already signed.
Watch video: Brian Hamburger: Key steps to forming a business
Be confident in the process.
Start by creating a clear vision of what you want your business to become. How many partners will you have? Where will you set up shop?
Watch video: Brian Hamburger: Initial registration and regulatory compliance
Make sure your plan is comprehensive.
Legal counsel can help structure a strategic plan, ensuring that all the essential elements—registration, disclosures, policies and procedures, and client agreements—are considered.
An efficient transfer of assets
Every transition team consists of conversion consultants who work together to transfer your clients' assets efficiently, with minimal disruption.
Solutions for your practice
We bring everything together—from consulting and education to technology and insights—to help you deliver an exceptional client experience.
We proudly serve teams of all sizes and the ultra-high-net-worth and family office communities—simplifying complexity with a range of service models tailored to your business.
Get where you want to be
Talk to 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.