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My transition

in numbers

More than 90%: Clients retained during transition
8 yrs.: At the wirehouse | 60 days: Total transition time

My best advice

with Bob Rall

For many advisors, the wirehouse can be a great safety net. Even if they aren’t happy, they stay for fear of the unknown. To them I say, “leap and the net shall appear.” That’s the philosophy I followed before I started my own RIA firm, and I echo it today to those who are unsure about making the switch.

 

The marketing and organizational aspects of running a business worried me most, but I found plenty of resources to help me. By leaning on TD Ameritrade to help me integrate my financial planning, portfolio management, CRM, and document management technologies, for example, I’m able to run an efficient firm that revolves around the needs of my clients.

 

There are many other “safety nets” available for RIAs, like third-party vendors who help with hiring, education, hardware, compliance and more. Ask your custodian to help you find the ones that are the best fit for your new independent practice.

Inspired by my story?

Learn more about transitioning to the RIA model by contacting TD Ameritrade today!

Or call 800-934-6124

Meet advisors like you who have
successfully transitioned

Heather Fortner

She knows that the right operations professionals can help advisors provide a seamless customer experience.

Gerald Loftin

After 12 years at his independent broker-dealer, he decided enough was enough.

The Fong Brothers

They turned their family values into a strong foundation for a growing and successful firm.

Ryder Brose

He used the RIA model to put his clients first.

Start exploring

your own independence

Have you been envisioning what your future business might look like? Use our quick and informative tool for a better understanding of how you can make the most out of your journey toward becoming an RIA.

Become an RIA in

4 simple steps

From choosing the right business model to helping your firm thrive after transition, you may have a lot of questions about becoming an independent RIA. Get the answers you’re looking for in our guidebook, Becoming an Independent RIA.

Additional resources
to help you on your journey

Infographic

Starting Your Own RIA Firm: Your Transition Journey

Learn the steps you’ll take to build your own RIA firm.

Slideshow

Four Big Mistakes to Avoid During Transition

Make your transition smooth by keeping clear of these common oversights.

Infographic

Ten Reasons RIAs Trust TD Ameritrade After They Go Independent

Discover the top reasons RIAs look to TD Ameritrade to help them achieve their goals.

Slideshow

Your Transition Checklist

Take your transition one step at a time with this helpful checklist.

Slideshow

Transition Tips From RIAs Who've Done It

Find out your fellow advisors' best tips for making a successful transition.

Perspective

Build Enterprise Value From Day One

Find out how to make strategic decisions as you begin investing in your business.

Brochure

Maintain Client Loyalty While Becoming an RIA

Learn how you can ease clients into your journey as you transition into the RIA model.

Fact Sheet

Business Transition Services

See how we can assist you during each stage of the transition process.

Infographic

Joining an Existing RIA Firm: Your Transition Journey

Learn the steps you’ll take to join an existing RIA firm.

Perspective

Build the Business You Always Wanted

Discover ways to delegate day-to-day tasks when establishing your own firm.

Guidebook

The Seamless Solution to Becoming an RIA

Learn how our guided process takes the guesswork out of transitioning.

Perspective

Should You Consider Going Hybrid?

Should You Consider Going Hybrid?

Human Finance | My journey to independence featuring Bob Rall