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Hosted by Brad Wales · 🇺🇸 US · EN-US · 152 episodes
Established thought leaders with verified media credentials.
The Transition To RIA Podcast is named by Kitces as a Top Podcast for Financial Advisors!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.
Brad Wales hosts Transition To RIA Podcast, a business show with 152 episodes published.
For those that follow my content, I often rant about "TAMPs" and "hybrids." Not that they aren't good solutions, but rather because our industry often uses those terms to refer to offerings that are sometimes not at all
All affiliation models have pros and cons. They all have red flags to watch out for as well. The RIA model is no exception. Case in point: when someone predominantly touts the "100% payout" of the model. Yes, with your o
Every couple of years, a buzzword seems to rise up to become the industry's token topic. There was an era when "TAMP" was the sexy talk of the day. About 10 years ago, "hybrid" was all the rage. While these terms are sti
In most scenarios, passing the Series 65 exam is the prerequisite to become licensed as an Investment Advisor Representative. However, there are scenarios where the 66, a CFP, or maybe even a 7 are still applicable. It's
There is no golden goose when it comes to affiliation models in the wealth management industry. Wirehouses, independent broker-dealers, RIAs all have pros and cons. Anyone who suggests otherwise is either ill-informed or
A misconception about the RIA model is that certain investment solutions such as variable annuities and alternatives (alts), are unavailable for client use. That is incorrect. Regarding variable annuities, you can genera
Whether you start your own RIA, or join an existing one, choosing which custodian to use is an important part of the decision process. As with choosing most solution providers for your practice, many variables should be
Over the past decade, all the (now tired) excuses for why advisors shouldn't move to the RIA model have fallen. To name a few: "The technology is not as good.""You won't have access to the same level of investment soluti
I am often asked how long it takes to register an RIA. The simple answer is typically 45-90 days, though in some scenarios it could take significantly longer. Equally important is knowing when (and how) to file in relati
When I explain to advisors they likely will want legal advice regarding navigating their departure from their current firm, I sometimes hear a range of responses: “My buddy left the firm last year, and I’m just going to
I often encounter a phenomenon with long-tenured advisors. As they've been born and bred at a broker-dealer, they simply assume they always need a broker-dealer. And these are advisors whose practices have become nearly,
What is the minimum AUM needed to have your own RIA? Beware of anyone that gives you an immediate answer, with an immediate AUM figure to that question. There are often bias or ulterior motives behind such quick declarat
There are multiple pathways into the RIA model. Each with pros and cons. One of the pathways is to join an existing RIA. When I first note the latter to advisors, there is often a misconception about what that entails. I
Should you register a new RIA, or simply buy an existing RIA? If you are considering transitioning your practice to the RIA model, you have multiple pathways to choose from. Some advisors conclude they want to have their
Every year many financial advisors transition their practice from one wirehouse to another. Provided they’ve done their research and concluded that such a path was best for them, their practice, and their clients, there
If you were to transition your practice to the RIA model, is there is an ideal time of the year to make the change? Before considering calendar variables, though, you first want to consider factors pertinent to your uniq
While it is not always referred to as a "1099 model", there is a type of RIA platform offering that many advisors find to be an attractive alternative to running their own RIA. These "1099 models" come in various flavors
We often hear about “breakaway” advisors. That is commonly understood to refer to wirehouse advisors “breaking away” to setup their own independent practices. It’s one of the main reasons the RIA channel has been, and co
A typical RIA “tech stack” is comprised of 3 core pieces of software: CRMFinancial PlanningPortfolio Management But what exactly does the generic sounding “portfolio management” tool do? Considering it is typically by fa
Choosing a custodian to hold your client assets is one of the most important decisions you’ll make when transitioning your practice to the RIA model. While it might at first seem as simple as picking from the “Big 3” (fo
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Transition To RIA Podcast is hosted by Brad Wales. The show is categorised under business (investing) and has published 152 episodes.
Transition To RIA Podcast has published 152 episodes.
Transition To RIA Podcast regularly covers business, investing, entrepreneurship. It sits in the business category, with a investing focus.
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