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My transition

in numbers

9 years at the wirehouse | 5 months total transition time
95% clients retained during transition

My best advice

with Todd Resnick

When it came time for me to transition to the RIA model, I was fortunate enough to be joined by six co-founders who shared my vision for our future business. Together, we wanted to build something more meaningful and impactful. If you’re able to find like-minded individuals to do the same with you, it can make the switch feel much easier.
But if you don’t have partners willing to go independent with you, transitioning can seem daunting. To those in that situation, I suggest finding a firm that shares your values so they can help you and your clients have a smooth transition. If you’d prefer to start your own firm, reach out to other RIAs through conferences, professional organizations and the internet so you can learn from their experiences. In this industry, you’re never alone—and that’s one of the best parts about it.
Todd Resnick

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

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.

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?