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Get the best of both worlds when you join an RIA firm

If you’re interested in becoming an RIA but not so interested in running your own business, joining an RIA firm may be a great option for you. Here’s why Rachel is glad she took that route:

Infrastructure: Existing firms already have the technologies, processes and teams in place to help you transition your clients.

Reputation: Marketing is straightforward when you can leverage the status of an existing firm.

Simplicity: Joining a firm allows you to focus on your clients rather than day-to-day business operations.

Affordability: When you’re part of a larger team, you’ll avoid the time and costs associated with running your own business.

Does joining a firm add up?

“Most advisors report greater satisfaction after moving to or creating a registered investment advisory firm”
1 in 4 advisors who we’ve helped make a move has decided to join an existing independent RIA
  • 1. InvestmentNews, “The Truth about Transition: The Grass Often Is Greener.” October 14, 2016.
  • 2. TD Ameritrade Institutional internal analysis, September 2014.

Relevant resources

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

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

If you’ve decided to join a firm but aren’t sure where to begin, use this checklist to help you find the right kind of RIA firm for you.

Joining an Existing RIA Firm: Your Transition Journey

Joining an Existing RIA Firm: Your Transition Journey

Want a quick look at the steps you'll need to take to transition to an RIA firm? Use this infographic to get a glimpse at your journey and find out what you can expect along the way.

Should You Consider Going Hybrid?

Should You Consider Going Hybrid?

If you want to become an RIA but aren’t ready to forego your commission-based business, the hybrid model may be more suitable for you. In this perspective piece, we’ll discuss this option and what to look for in a broker-dealer.

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.

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.

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

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?