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Get the best of both worlds when you join an RIA firm

If you’re interested in becoming an RIA but not so interested in running your own business, joining an RIA firm may be a great option for you. Here’s why Rachel is glad she took that route:

Infrastructure: Existing firms already have the technologies, processes and teams in place to help you transition your clients.

Reputation: Marketing is straightforward when you can leverage the status of an existing firm.

Simplicity: Joining a firm allows you to focus on your clients rather than day-to-day business operations.

Affordability: When you’re part of a larger team, you’ll avoid the time and costs associated with running your own business.

Does joining a firm add up?

“Most advisors report greater satisfaction after moving to or creating a registered investment advisory firm”
1 in 4 advisors who we’ve helped make a move has decided to join an existing independent RIA
  • 1. InvestmentNews, “The Truth about Transition: The Grass Often Is Greener.” October 14, 2016.
  • 2. TD Ameritrade Institutional internal analysis, September 2014.

Relevant resources

Finding the Right Fit: A Quick Guide to Joining the Right RIA Firm

Finding the Right Fit: A Quick Guide to Joining the Right RIA Firm

If you’ve decided to join a firm but aren’t sure where to begin, use this checklist to help you find the right kind of RIA firm for you.

Joining an Existing RIA Firm: Your Transition Journey

Joining an Existing RIA Firm: Your Transition Journey

Want a quick look at the steps you'll need to take to transition to an RIA firm? Use this infographic to get a glimpse at your journey and find out what you can expect along the way.

Should You Consider Going Hybrid?

Should You Consider Going Hybrid?

If you want to become an RIA but aren’t ready to forego your commission-based business, the hybrid model may be more suitable for you. In this perspective piece, we’ll discuss this option and what to look for in a broker-dealer.

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.

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

independence

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

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.

Worksheet

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.

Guide

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.

Infographic

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.

Need more resources to guide you?