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. 

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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.

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    A successful transition: Why experience matters

  • Video: Elyn Davis

    Elyn Davis: Simplifying the transition

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.

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    Unscripted: Pathway

    Two 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.
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    Unscripted: Clients

    Will 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.

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. 

Get the most out of Schwab's technology

Roadmap to independence

Our essential guide will help you chart a course to running your own RIA firm, from planning to account conversion and managing day-to-day operations.

The RIA Roadmap

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.

  • Employment Considerations with Brian Hamburger

    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.

  • Key steps to forming a business

    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?

  • Initial Registration

    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.

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Services

  • Solutions for your practice

    We bring everything together—from consulting and education to technology and insights—to help you deliver an exceptional client experience. 

  • Specialized services

    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. 

Contact

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.

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