Click the image above to play the video.

My transition

in numbers

6 Years - At independent broker dealer
18 Months - Total transition time

My best advice

with Ryder Brose

It’s human nature to fear change, but once we conducted our due diligence, it became clear that breaking away from our independent broker-dealer and moving to the RIA model was the only way to take our firm to the next level. As a former law enforcement officer who made a mid-life career change, I was quite familiar with major life transitions. For others, however, this feeling of uncertainty can be overbearing to the point of “decision paralysis” and can prevent someone from making the decision to become an RIA.

 

Start by discussing your transition with colleagues who have already made the move and use their insights to determine your top custodial contenders. Interview those custodians to determine the best one to serve your firm. A good custodian will help you narrow down your technology choices and ultimately help you select solutions that will not only integrate with their platform, but will streamline your business processes. Overall, a great custodian will walk you through every step of the transition process to make the move as seamless and painless as possible for your firm, your staff and most importantly, your valuable 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

Todd Resnick

He joined his partners to break away and do things on their own terms.

Stephen Rischall

He left his independent broker-dealer to start his own firm and experience true freedom.

NextGen Advisors

Hear from advisors who know about how the RIA model is perfect for NextGen talent.

Joining a Firm

Hear from an advisor who joined a firm after going independent.

Gerald Loftin

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

Operational Efficiency

Hear from an operations pro about how to streamline your new firm's operations to 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.

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

Quick Guide

A Student’s Guide to a Career in Financial Planning

Which advising model is right for you? Use this guide to find out—and learn more about the industry.

Infographic

Finding the Right Fit: A Quick Guide to Joining the Right RIA Firm

Interested in leveraging an existing firm’s infrastructure but not sure where to begin? This checklist can help.

Slideshow

Become Robo-Efficient in 3 Easy Steps

Offer clients in your new firm the automated convenience robo-advisors can provide—plus the human touch they can't.

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.

Need more resources to guide you?

Human Finance | My Journey to Independence Featuring Ryder Brose