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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

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.

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

independence

Have you been thinking about what your future business might be like? Use our quick tool to get a better understanding of how to make the most 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

M&A on the Horizon: Ready to Grow Your Firm?

If it’s time to start thinking big(ger), we can help. Learn about what you need to do to prepare for M&A at your firm.

Worksheet

Going Independent by the Numbers: Mapping Out the Costs of Starting Your RIA Firm

Ready to go out on your own? Let’s do some math. Use this worksheet to keep track of what your startup costs may be.

Guide

Steps to Independence: Structuring and Setting Up Your RIA Firm

Starting your own RIA firm? Use this guide to walk through some critical steps you'll need to take as you get up and running.

Infographic

Realize More Career Freedom: Discover the Benefits of the RIA Model

Transitioning to independence could be a win for you and your clients. Find out what other Advisors have to say about what it’s like on the other side.

Need more resources to guide you?