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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


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

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.


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.


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.


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?