Episode #37: One of the most exciting aspects about transitioning to the RIA model is creating your marketing plan for your new firm. This is where you get to bring to life the vision you’ve always had of exactly how you want to position your firm in the marketplace. What name you want to call your firm. The logo you want to use. How your website will appear. The look, feel and message of your brand. In this episode I am joined by Claire Akin of Indigo Marketing Agency, a specialty marketing fir...
Jan 09, 2021•46 min
Episode #36: This episode is from video #36 of the Transition To RIA video series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I explain how an RIA custodian generates revenue for itself. 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 Investment Advisor (RIA...
Dec 24, 2020•27 min
Episode #35: This episode is from video #35 of the Transition To RIA video series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I explain what exactly a "hybrid" solution is and how/why it is often interchangeably (and incorrectly) used within the industry. 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 t...
Dec 07, 2020•22 min•Ep. 35
Episode #34: This episode is from video #34 of the Transition To RIA video series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I explain the different types of RIA compliance consulting firms you will potentially utilize as your own RIA. 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 ...
Dec 07, 2020•13 min
Episode #33: This episode is from video #33 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 if, and how, it is possible to charge performance based fees as a Registered Investment Advisor (RIA). 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 Inv...
Dec 07, 2020•15 min
Episode #31: This episode is from video #31 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 current debate regarding when/if you can call yourself "fee-only", or depending on your service offering, should you instead only be using a "fee-based" verbiage. 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 abou...
Dec 07, 2020•13 min
Episode #30: This episode is from video #30 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 often unknown/misunderstood option of being able to still maintain a commission component to your practice as your own Registered Investment Advisor (RIA). 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 a...
Dec 07, 2020•27 min
Episode #28: This episode is from video #28 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 you can generally expect to happen during a regulatory examination of your Registered Investment Advisor (RIA). 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 ...
Dec 07, 2020•21 min
Episode #27: This episode is from video #27 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 how it is possible (and arguably preferable) to start with one custodian as a new Registered Investment Advisor (RIA), and then, if desired, become multi-custodial at a later date. About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there i...
Dec 07, 2020•24 min
Episode #26: This episode is from video #26 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 how and when conflicts (and potential conflicts) of interest have to be disclosed in 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 transition their p...
Dec 07, 2020•17 min
Episode #25: This episode is from video #25 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 how to compare simply buying an existing (already formed/live) RIA vs starting one logistically from scratch. 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 Registe...
Dec 07, 2020•16 min
Episode #24: This episode is from video #24 of the Transition To RIA video series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I explain what a "No Transaction Fee" program is, and where you would encounter one as an RIA. 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 ...
Dec 07, 2020•18 min
Episode #23: This episode is from video #23 of the Transition To RIA video series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I explain what the difference is between Transaction Based Pricing & Asset Based Pricing, and when they are respectively utilized or not. 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 W...
Dec 07, 2020•18 min
Episode #22: This episode is from video #22 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 whether or not (and how) a custodian will send account statements directly to your clients. 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 Investment Adv...
Dec 07, 2020•14 min
Episode #21: This episode is from video #21 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 options you have of different ways you can charge for your services under 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 transition their practice to ...
Dec 07, 2020•17 min
Episode #20: This episode is from video #20 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 sort of account minimum requirements you can expect from the custodians you work with. 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 Investment Adv...
Dec 07, 2020•18 min
Episode #19: This episode is from video #19 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 you can expect for mutual fund availability from your custodian(s) that you'll use as a Registered Investment Advisor (RIA). 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 pra...
Dec 07, 2020•16 min
Episode #18: This episode is from video #18 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 you can generally expect to achieve for client retention if you transition into 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 transition their p...
Dec 07, 2020•12 min
Episode #17: This episode is from video #17 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 optionality you have with working with custodians as your own Registered Investment Advisor (RIA). 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 Inv...
Dec 07, 2020•12 min
Episode #16: This episode is from video #16 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 an "advisory agreement" is, why you need one as a Registered Investment Advisor (RIA), and how you go about creating one. 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 practi...
Dec 07, 2020•14 min
Episode #15: This episode is from video #15 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 who has to pay the trading transaction costs, the investing client or the Registered Investment Advisor (RIA). 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 Regist...
Dec 07, 2020•18 min
Episode #14: This episode is from video #14 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 level of bottom-line take home income you can generally expect to earn as your own Registered Investment Advisor (RIA). 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...
Dec 07, 2020•17 min
Episode #13: This episode is from video #13 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 steps involved with being able to sell insurance as your own Registered Investment Advisor (RIA). 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 Inve...
Dec 07, 2020•13 min
Episode #12: This episode is from video #12 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 you can generally expect to pay for a compliance consultant to assist you with the startup and ongoing compliance responsibilities of having your own Registered Investment Advisor (RIA). About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everyth...
Dec 07, 2020•14 min
Episode #11: This episode is from video #11 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 how compliance works as your own Registered Investment Advisor (RIA), and why it's actually more advantageous than you most likely realize. 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...
Dec 07, 2020•14 min
Episode #10: This episode is from video #10 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 how "book ownership" works in 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 transition their practice to the Registered Investment Advisor (RIA) mode...
Dec 07, 2020•9 min
Episode #9: This episode is from video #9 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 various AUM "minimums" you should be aware of as you consider starting your own Registered Investment Advisor (RIA). 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 th...
Dec 07, 2020•11 min
Episode #8: This episode is from video #8 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 frequency of regulatory exams you can generally expect to experience as your own Registered Investment Advisor (RIA). 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 t...
Dec 07, 2020•12 min
Episode #7: This episode is from video #7 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 process is (or isn't, for that matter) regarding Outside Business Activities (OBAs) as your own RIA. 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 Registere...
Dec 07, 2020•12 min
Episode #6: This episode is from video #6 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 whether or not you can have discretionary accounts in 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 transition their practice to the Registered Investm...
Dec 07, 2020•8 min
