Welcome to our
resource library

Below, you will find infographics, slideshows, fact sheets and more to help guide you on your journey to independence.


Retaining Clients in Independence

Many Advisors delay making the switch to the RIA model out of fear that they'll lose clients. Learn how to communicate your transition to clients and continue your relationship in independence.


Key Decisions for Independence: Mapping Your Start in the RIA Model

Choosing to become an RIA involves a lot of decisions—but having a road map makes them easier to manage. Read this guide to learn about key milestones in independence.


Compliance in Independence

Keeping up with laws and regulations is something you'll need to be aware of as an independent RIA, but it's not unmanageable. Learn more from industry leader Blane Warrene in this article.


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.


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.


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.


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.


Make Your Move: Exploring Opportunities in the RIA Model

Could transitioning to the RIA model increase the value of your business? Learn more about some of your options.

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No Regrets: Advisors Who Moved to the RIA Model—And Never Looked Back

Deciding to become an independent RIA could seem like a leap of faith. Hear from Advisors whose only regret is that they didn’t do it sooner.


Fiduciary Freedom: Be in Charge of How Your Business Is Run—100%

Independent RIAs can choose how they counsel their clients. Learn more about just how free you can really be.

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.


The TD Ameritrade Institutional Technology Ecosystem

See our list of helpful tech tools and learn how they integrate with our Veo® platforms.


5 Promises Every Custodian Should Keep

Don’t put up with lip service from your custodian. Your fellow RIAs will fill you in on why.

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The Truth About Transitions: The Grass Is Often Greener

More and more, the evidence is becoming clearer—those who go independent are a happy bunch.


Four Big Mistakes to Avoid During Transition

Make your transition smooth by keeping clear of these common oversights.


Ten Reasons RIAs Trust TD Ameritrade After They Go Independent

Discover the top reasons RIAs look to TD Ameritrade to help them achieve their goals.


Your Transition Checklist

Take your transition one step at a time with this helpful checklist.


Starting Your Own RIA Firm: Your Transition Journey

Learn the steps you’ll take to build your own RIA firm.


The Truth About Transitions: You Can Take It With You

A new study shows that parting ways with the wirehouse doesn’t mean leaving clients behind.


The Truth About Transitions: With the Right Help, Independence Doesn’t Have to Be Difficult for Brokers

With comprehensive support and preparation, becoming an RIA is simpler than you think.


Transition Tips From RIAs Who've Done It

Find out your fellow Advisors' best tips for making a successful transition.

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Business Transition Services

See how we can assist you during each stage of the transition process.


Joining an Existing RIA Firm: Your Transition Journey

Learn the steps you’ll take to join an existing RIA firm.


The Seamless Solution to Becoming an RIA

Learn how our guided process takes the guesswork out of transitioning.


Should You Consider Going Hybrid?

Should You Consider Going Hybrid?

Business Evaluator

Exploring Your Independence

Unsure if you’re ready to take the step toward independence and join or start an RIA? We’ll help you ask the right questions.

RIA Economic Evaluator

The Value of Making the Move

Does transitioning to the RIA model make financial sense for your business? Our RIA Economic Evaluator can give you some answers.

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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.

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?

You think big.

So, what’s next?

You’re always thinking a few steps ahead. Are you ready for your next move? Take this short assessment, and we’ll provide a few resources that can help you take the next step.

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.