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My transition

in numbers

12 yrs.: At independent broker-dealer | 6 months: Total transition time | 5 yrs.: Years at RIA
100%: Clients retained during transition

My best advice

with Gerald Loftin

With the new Department of Labor (DOL) Conflict of Interest Rule, putting the needs of your clients first is more important than ever—and no one is more poised to do so than RIAs. That’s why now is the time to seriously consider becoming an RIA. If you’ve been thinking about transitioning for a while, you’ve probably outgrown your relationship with your current broker-dealer.

 

Once you’ve decided to transition, be patient. Even when your plans seem perfect, things can change. Your clients might prefer to work at a slower pace, but that doesn’t mean things are going south—it might just mean they’re busy! Stay calm and lean on your custodian. For me, working with TD Ameritrade helped manage my own expectations and stick to a realistic, but flexible, timetable. I didn’t regret my move into the RIA model—and neither did my clients.

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.

Bob Rall

He left the wirehouse to build deeper relationships with his clients.

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?

Let us help you get your

business booming

Whether you’re leaning toward starting or joining an RIA, we’ll give you an idea of what your future business might look like with our quick and informative Exploring Your Independence™ tool.

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

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.

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.

Need more resources to guide you?

Human Finance | My Journey to Independence Featuring Gerald Loftin