Transition To RIA Podcast

The Transition To RIA Podcast was named to the first ever Top Podcasts for Financial Advisors list by Kitces. Brad Wales, founder of Transition To RIA (TransitionToRIA.com) discusses WHY and HOW to transition your financial advisory practice to the Registered Investment Advisor ("RIA") model. This question/answer style podcast pulls directly from the hundreds of RIA related questions Brad has been asked over the years. With 20+ years industry experience, including direct RIA related roles in compliance, finance and business development, Brad has become the go-to expert for everything financial advisors want to learn and understand about the RIA model. Transition To RIA is completely independent of any one solution, thus Brad is able to provide impartial advice and guidance across all of the possible pathways into the model.

Last refreshed: June 30th, 2025 at 1:25 AM ⓘ

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Episodes

Q5 - How Long Does It Take To Register An RIA?

Episode #5: This episode is from video #5 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain the length of time you can expect that a full registration of a new Registered Investment Advisor will take to formally complete. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their pract...

Dec 07, 2020•12 min

Q4 - How Do I Logistically Setup An RIA?

Episode #4: This episode is from video #4 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain the actual logistical steps involved in formally establishing your own Registered Investment Advisor. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Registered Invest...

Dec 07, 2020•17 min

Q3 – What Is The Difference Between An RIA And An IAR?

Episode #3: This episode is from video #3 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain what the difference is between a Registered Investment Advisor (RIA) and an Investment Advisor Representative (IAR). About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Re...

Dec 06, 2020•7 min

Q2 – Do I Need To Register My RIA With The SEC Or With My State?

Episode #2: This episode is from video #2 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain what determines whether you would need to register your RIA with the SEC vs the state your reside in. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Registered Invest...

Dec 06, 2020•12 min

Q1 - Why Should I Consider Transitioning To The RIA Model?

Episode #1: This is question #1 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's question I answer the macro question of why, as a financial advisor, should you be considering transitioning your practice to the Registered Investment Advisor (RIA) model. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transit...

Dec 06, 2020•15 min

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