Become an RIA in

4 simple steps

Whether you’re still contemplating the switch or have made the decision to give it a go, it’s important to get a good grasp on how to become an independent RIA—a process that’s probably simpler than you think. In this guidebook, we’ll give a comprehensive overview of these steps and explain:


  • The business models that are available and how to choose the path that’s right for you
  • How to navigate technology options, the hiring process and marketing
  • The best ways to transition your clients and move accounts
  • Strategies to help your business grow after transition

Meet advisors like you who have
successfully transitioned

Ryder Brose

He used the RIA model to put his clients first.

The Fong Brothers

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

Bob Rall

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

Gerald Loftin

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

Heather Fortner

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

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


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.


Four Big Mistakes to Avoid During Transition

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


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.


Your Transition Checklist

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

Need more resources to guide you?

Human Finance | Become an RIA in 4 simple steps