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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.

Ready for more

advisor insights and advice?

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

Advocating for You: The Cornerstone of What We Do

Becoming an RIA means having us on your side—even on Capitol Hill. Find out how we practice industry advocacy.

Infographic

The TD Ameritrade Institutional Technology Ecosystem

See our list of helpful tech tools and learn how they integrate with our Veo® platforms.

Slideshow

5 Promises Every Custodian Should Keep

Don’t put up with lip service from your custodian. Your fellow RIAs will fill you in on why.

InvestmentNews

The Truth About Transitions: The Grass Is Often Greener

More and more, the evidence is becoming clearer—those who go independent are a happy bunch.

Need more resources to guide you?

Human Finance | My journey to independence featuring Bob Rall