Reza Zamani
Steel Peak Wealth Management
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Charles Schwab
Schwab Advisor Services™
Over 7,500 independent financial advisors depend on Schwab. Here’s why.
Reza Zamani
Steel Peak Wealth Management
REZA: When we decided that it was time for us to go independent, the very first phone call we made was to Charles Schwab.
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Adam Schwartz
Schwab Advisor Services
ADAM: Reza and his team made the decision that independence made sense for them. They really wanted to grow their business.
REZA: They put us in touch with every single person that we needed to meet to build our practice the way we wanted to build our practice which is for the best interest of our clients.
ADAM: Ultimately they’ve had a lot of success in their move. They brought over the vast majority of their clients in a very short order.
REZA: I was on the phone with Adam probably two, three times a day. I need an accountant – look at this person. We need a marketing group, I need somewhere I can order desks, I need someone who can help me find the office space. Adam was the quarterback. He essentially helped us meet all the different key people that we needed to meet so we can build a company.
ADAM: The advisor sees us as their right hand man every step along the journey.
REZA: There’s two times in my life when I’ve become free: when I came to this country at the age of six, and October 12, 2012, when I became free as an advisor.
ADAM: They’ve got Schwab supporting them every step along the way and there’s no reason they’re not going to be very successful.
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Charles Schwab
Own your tomorrow®
Charles Schwab is proud to support more independent financial advisors of all sizes and their clients than anyone else.
DISCLOSURES:
Steel Peak Wealth Management is not owned by or affiliated with Schwab, and its personnel are not employees or agents of Schwab. This is not a referral to, endorsement or recommendation of, or testimonial for the advisor with respect to its investment advisory or other services. Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading and support services of Schwab. Independent investment advisors are not owned by, affiliated with or supervised by Schwab. ©2018 Charles Schwab & Co., Inc. (“Schwab”) All rights reserved. Member SIPC. (1018-872J)
Megan Gorman
Chequers Financial Management
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Charles Schwab
Schwab Advisor Services™
Over 7,500 independent financial advisors depend on Schwab. Here’s why.
Megan Gorman
Chequers Financial Management
MEGAN: I was drawn to the idea of setting up an RIA. I wanted to be able to create the experience where it’s about the client and enjoying my time with the client. Schwab supports us in a way that I couldn’t even have imagined back when I was first setting up the firm
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Natalie Straub
Schwab Advisor Services
NATALIE: Meg and I started working together probably about two years ago. When you go independent and become a registered investment advisor, you’re not going it alone, especially when you’re working with someone like Schwab.
MEGAN: Natalie is the one that we call and say, ‘Hey Natalie, we’re trying to do this. Can it happen?’ It was a really big, sort of confidence booster in taking this leap to start a firm.
NATALIE: I like to think of myself as an extension of their team and an advocate for them and for their business. They’re looking for someone to confirm they’re doing the right thing.
MEGAN: They’ve seen what works and they can help you refine your ideas as you’re being creative on what the client should experience with your firm.
NATALIE: She is also one of my firms that’s growing fastest.
MEGAN: They understand best practices. They understand what you should be doing as a whole as a financial firm.
NATALIE: My $100 million client gets the same exact experience as my $3 billion client. And it’s all about the client experience, and we’re seeing things through clients’ eyes.
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Charles Schwab
Own your tomorrow®
Charles Schwab is proud to support more independent financial advisors of all sizes and their clients than anyone else.
DISCLOSURES:
The views expressed are for general information purposes only and are not intended to be a substitute for specific individualized legal or compliance advice. Where specific advice is necessary or appropriate, Schwab recommends consultation with a professional. Examples described are for illustrative purposes only and does not represent a guarantee of future performance or success and may not be representative of your experience.
Chequers Financial Management is not owned by or affiliated with Schwab, and its personnel are not employees or agents of Schwab. This is not a referral to, endorsement or recommendation of, or testimonial for the advisor with respect to its investment advisory or other services. Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading and support services of Schwab. Independent investment advisors are not owned by, affiliated with or supervised by Schwab. ©2018 Charles Schwab & Co., Inc. (“Schwab”) All rights reserved. Member SIPC. (1018-8XCU)
Andrea Broughton
SBK Financial
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Charles Schwab
Schwab Advisor Services™
Over 7,500 independent financial advisors of all sizes depend on Schwab. Here’s why.
Andrea Broughton
SBK Financial
ANDREA: Being an independent RIA was never really even a question. I wanted to work at a place where clients’ needs came first. We started day 1 with four people: we had three partners and one staff. The transition team at Schwab was invaluable.
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Sheila Foley
Schwab Advisor Services
SHIELA: Andrea and her team were essentially looking to the next iteration of their business and wanted to focus and really think about where they were going to go as far as the future. So they looked to us to say, “what is it that you can help us do in terms of the thinking through the process?”
ANDREA: They understand our business and they understand the importance of providing our clients with a great experience.
SHIELA: We’re helping not only with growth, but we’re really helping them in being innovative, in being thought leaders.
ANDREA: They’re constantly looking at new ways to make our lives easier.
SHIELA: We wake up every day – this is exactly what we do: We think about our work and how best we can support our clients.
ANDREA: I can say without a doubt that Schwab has made a difference in our growth.
On-screen text:
Charles Schwab
Own your tomorrow®
Charles Schwab is proud to support more independent financial advisors of all sizes and their clients than anyone else.
DISCLOSURES:
The views expressed are for general information purposes only and are not intended to be a substitute for specific individualized legal or compliance advice. Where specific advice is necessary or appropriate, Schwab recommends consultation with a professional. Examples described are for illustrative purposes only and does not represent a guarantee of future performance or success and may not be representative of your experience.
SBK Financial is not owned by or affiliated with Schwab, and its personnel are not employees or agents of Schwab. This is not a referral to, endorsement or recommendation of, or testimonial for the advisor with respect to its investment advisory or other services. Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading and support services of Schwab. Independent investment advisors are not owned by, affiliated with or supervised by Schwab. ©2018 Charles Schwab & Co., Inc. (“Schwab”) All rights reserved. Member SIPC. (1018-8X00)
Brett Shaver
Princeton Global Asset Management
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Charles Schwab
Schwab Advisor Services™
Over 7,500 independent financial advisors of all sizes depend on Schwab. Here’s why.
Brett Shaver
Princeton Global Asset Management
BRETT: Being independent, it sounds like you’re on your own but it’s very far from the truth. My team at Schwab is absolutely as passionate about our business as I am. We know we’re aligned completely together to grow our businesses. When we do need to get something resolved, Schwab helps us get it done correctly the first time.
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Joseph Taromina
Schwab Advisor Services
JOE: We actively listen and really, just from end to end, give them that seamless experience, and be consultative with them. And really, if they come to you with an intricate situation really be able to drill down, roll up your sleeves and get that situation resolved for the end client and the advisor.
BRETT: They kind of created this category. Seeing the success Charles Schwab has had in the independent advisor space, I think we’re very comfortable that Schwab will grow with our firm over time. This is a business that Schwab is dedicated to.
JOE: We’re dealing with RIAs’ livelihoods; we’re dealing with clients’ livelihoods. It’s important to trust the custodian that you deal with day-to-day.
BRETT: There’s enough to worry about in this business. Your custodian doesn’t need to be one of them. Schwab is a champion for my independence.
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Charles Schwab
Own your tomorrow®
Charles Schwab is proud to support more independent financial advisors of all sizes and their clients than anyone else.
DISCLOSURE:
The views expressed are for general information purposes only and are not intended to be a substitute for specific individualized legal or compliance advice. Where specific advice is necessary or appropriate, Schwab recommends consultation with a professional. Examples described are for illustrative purposes only and does not represent a guarantee of future performance or success and may not be representative of your experience.
Princeton Global Asset Management is not owned by or affiliated with Schwab, and its personnel are not employees or agents of Schwab. This is not a referral to, endorsement or recommendation of, or testimonial for the advisor with respect to its investment advisory or other services. Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading and support services of Schwab. Independent investment advisors are not owned by, affiliated with or supervised by Schwab. ©2018 Charles Schwab & Co., Inc. (“Schwab”) All rights reserved. Member SIPC. (1018-8X00)
Stasia Washington
First Foundation Advisors
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Charles Schwab
Schwab Advisor Services™
Over 7,500 independent financial advisors depend on Schwab. Here’s one.
Stasia Washington
First Foundation Advisors
STASIA: Schwab is always just one phone call away. No matter how early or no matter how late in the evening, I’ve gotten a response, which allows my clients to sleep at night. We’re growing because Charles Schwab is constantly at the table asking questions on what can we do more, better, or less. Because of Charles Schwab, I am much more effective and efficient in my client services. Schwab is the champion for my success.
On-screen text:
Charles Schwab
Own your tomorrow®
Charles Schwab is proud to support more independent financial advisors and their clients than anyone else.
©2017 Charles Schwab & Co., Inc. All rights reserved. Member SIPC. (0817-7F0L)
DISCLOSURES:
The views expressed are for general information purposes only and are not intended to be a substitute for specific individualized legal or compliance advice. Where specific advice is necessary or appropriate, Schwab recommends consultation with a professional. Examples described are for illustrative purposes only and does not represent a guarantee of future performance or success and may not be representative of your experience.
First Foundation Advisors is not owned by or affiliated with Schwab, and its personnel are not employees or agents of Schwab. This is not a referral to, endorsement or recommendation of, or testimonial for the advisor with respect to its investment advisory or other services. Schwab Advisor Services serves independent investment advisors and includes the custody, trading and support services of Schwab. Independent investment advisors are not owned by, affiliated with or supervised by Schwab. ©2017 Charles Schwab & Co., Inc. (“Schwab”) All rights reserved. Member SIPC. (0817-7F0L)
Kent Skornia
Krilogy Financial
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Charles Schwab
Schwab Advisor Services™
Over 7,500 independent financial advisors depend on Schwab. Here’s one.
Kent Skornia
Krilogy Financial
KENT: Without a company like Schwab, a small firm like mine could never have existed. They immediately give you a platform that allows you to compete against anyone in the industry. That is priceless. I couldn’t have replicated a trading platform, an online experience, for my clients the way Schwab did it. I started the company $19 million dollars in assets and today we have $700 million dollars in assets. Schwab is best in class.
On-screen text:
Charles Schwab
Own your tomorrow®
Charles Schwab is proud to support more independent financial advisors and their clients than anyone else.
©2017 Charles Schwab & Co., Inc. All rights reserved. Member SIPC. (0417-XTYW)
DISCLOSURES:
The views expressed are for general information purposes only and are not intended to be a substitute for specific individualized legal or compliance advice. Where specific advice is necessary or appropriate, Schwab recommends consultation with a professional. Examples described are for illustrative purposes only and does not represent a guarantee of future performance or success and may not be representative of your experience.
Krilogy Financial is not owned by or affiliated with Schwab, and its personnel are not employees or agents of Schwab. This is not a referral to, endorsement or recommendation of, or testimonial for the advisor with respect to its investment advisory or other services. Schwab Advisor Services serves independent investment advisors and includes the custody, trading and support services of Schwab. Independent investment advisors are not owned by, affiliated with or supervised by Schwab. ©2017 Charles Schwab & Co., Inc. (“Schwab”) All rights reserved. Member SIPC. (0417-XTYW)
Sheila Schroeder
Mosaic Financial Partners
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Charles Schwab
Schwab Advisor Services™
Over 7,500 independent financial advisors depend on Schwab. Here’s one.
Sheila Schroeder
Mosaic Financial Partners, Inc.
SHEILA: Schwab is integral to the success of our firm. Because often on our side of the business we’re great at financial planning, we’re great at investment management, but we may not be so great at building our businesses. How do you take a firm like mine from $600 million to $1.2 billion? There’s a process behind it. And what Schwab has done, is taught us the process. They’re helping our firm be the best firm that we can be to the clients that we want to serve.
On-screen text:
Charles Schwab
Own your tomorrow®
Charles Schwab is proud to support more independent financial advisors and their clients than anyone else.
©2017 Charles Schwab & Co., Inc. All rights reserved. Member SIPC. (0417-XTYW)
DISCLOSURES:
Mosaic Financial Partners, Inc. is not owned by or affiliated with Schwab, and its personnel are not employees or agents of Schwab. This is not a referral to, endorsement or recommendation of, or testimonial for the advisor with respect to its investment advisory or other services. Schwab Advisor Services serves independent investment advisors and includes the custody, trading and support services of Schwab. Independent investment advisors are not owned by, affiliated with or supervised by Schwab. ©2017 Charles Schwab & Co., Inc. (“Schwab”) All rights reserved. Member SIPC. (0417-XTYW)
To find out what going independent could mean for you, click here
The numbers tell a one-of-a-kind story. Only Schwab has been in the trenches with independent financial advisors for over 30 years. We have been a tireless advocate for the independent model and have committed thousands of people and millions in resources to make sure independent advisors of all sizes have everything they need to grow and succeed.
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Nearly 50
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The RIA Roadmap.
Complete this form, and the guide is yours to download.
This form helps us connect with the right people to answer your questions about transitioning to an independent advisor.
We’re proud to be a part of the fastest-growing segment of the financial services industry.
Thirty years ago, Schwab supported a small group of entrepreneurial advisors who challenged the industry with a fundamental belief: Independence is a better way. Today, our entire business is built to fuel the independent spirit of advisors., from your first steps toward establishing an independent firm through your tireless efforts to put clients first. We’re always looking out for what’s next and innovating on advisors’ behalf.
Investment Advisor Association formed, followed by the Investment Advisors Act three years later
3,500 investment advisors
Charles Schwab launches, bringing Wall Street to Main Street.
Congress enacts ERISA; IRA introduced
Schwab is the first to offer 24/7 order entry and quote service.
Schwab introduces Mutual Fund MarketPlace® with 140 no-load funds. The company launches SchwabQuotes® and introduces The Equalizer®, a DOS-based technology solution that points the way toward an online future.
Schwab officially launches Schwab Financial Advisor Service, with a trading desk exclusively for advisors.
Schwab introduces Account Access Link (later becoming SchwabLink), a platform offering a wider range of online network services to advisors.
Schwab launches the annual IMPACT conference, bringing together and highlighting independent advisor firms from across the country. To this day, it’s the largest conference for registered independent advisors of its kind. In 2007, Schwab announced the winners of the first IMPACT Awards™.
12,000 investment advisors
- Advisor Services launches web-trading platform with alerts.
- Schwab Charitable launches (as “Fund for Charitable Giving”).
Schwab launches the annual RIA Benchmarking Study, allowing participating independent advisor firms to gain key insights on their business metrics and performance relative to their peers. Over 1,000 firms participate each year in this industry-leading study.
- Dodd-Frank Act
- 16,000 investment advisors
Schwab launches a multiyear, multimillion-dollar ad campaign educating investors about independent advisors and the fiduciary standard. In 2013, a directory is added to help investors find independent advisors near them.
- Schwab transforms the way advisors do business on our platform with eSignature, eAuthorization, and mobile.
- Executive Leadership Program launches – the first MBA-caliber program for the next generation of RIA firm leaders.
Schwab launches Cybersecurity Resource Program.
30-year anniversary serving advisors.
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1. As of Q2 2018.
2. As of May 2018.
3. As of May 2018
4. As of July 2016.
5. Schwab Corporate Strategy estimates based on industry data sources. Single custodian RIAs only.
6. As of February 2017.
7. As of Q2 2018.