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Our transition

in numbers

18 Years - Time at wirehouse - 18 Months - Total transition time
95% Clients retained during transition

Our best advice

with Jeff and Jay Fong

Fear of the unknown is part of any worthwhile life change. It’s important to remember that you don’t have to do this homework on your own. We found that with the right custodian, we had as much—if not more—support than we did in the wirehouse.


Your custodian isn’t your only resource, however. Network with peers already in the RIA model to discover their ups and down as they transitioned and grew. Be sure to ask them about their custodian and find out what they like and dislike most about the partnership. Once you’ve gathered enough information from current RIAs, you should feel more confident going into your own transition. We found that with the proper insights, jumping into the RIA model was simpler than we thought—we only wish we would have done it sooner!

Inspired by our 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.

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?