How to Successfully Transition from IBD to RIA
Episode description
In this episode, host Catherine Tindall, CPA (Dominion), is joined by Steven Taylor, CFP® and Attorney, to demystify the transition process for financial advisors moving from the Independent Broker-Dealer (IBD) model to a Registered Investment Advisor (RIA) structure.
- IBD vs. RIA: Key Differences
- The Benefits of Transitioning to RIA
- Challenges to Anticipate
- Practical Steps for a Smooth Transition
Catherine Tindall is a Certified Public Accountant and Partner at Dominion Enterprise Services. She focuses on helping business owners optimize their tax strategies to maximize profitability and reduce liabilities. Catherine’s expertise spans across industries, with a keen focus on leveraging the latest tax regulations to benefit her clients.
- Financial advisors currently operating under the IBD model who are contemplating a transition to RIA.
- Advisors looking to better understand the operational and compliance aspects of the RIA structure.
Relevant Links
Dominion Enterprise Services Website
[IRS Guide on Employee Retention Credit](https://www.irs.gov/coronavirus/employee-retention-credit#:~:text=Check your eligibility for the credit,-ERC Eligibility Checklist&text=The credit is available to,when the business impacts occurred.)
Guest and Host Information
Guest: Steve Taylor – LinkedIn
Guest Host: Catherine Tindall, CPA – LinkedIn, Firm Profile
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