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

Ever wonder what kind of help is out there for brokers who want to go independent? You might be surprised to find that the resources are plentiful—and they make all the difference! In this article, we explore the study in more detail and discuss how finding the right support can make your transition as smooth as possible.

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?

We’ll help you

do the math

Thinking of becoming an RIA, but unsure of the financial implications? Learn more about the potential benefits with our RIA Economic Evaluator.

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

Slideshow

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.

Guide

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.

Guide

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.

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.

Need more resources to guide you?