About

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I'm Brad Wales.  I started Transition To RIA to fill a void in the marketplace:  A firm providing a consultative approach, focused solely on the RIA model, and which is completely independent of any one solution. (Read a full review of my offering here.)

The guiding principals of the firm include:

1

Be the definitive source of information regarding transitioning to the RIA model Scheduling a one-on-one Discovery call is the most effective way for me to provide you with value. In the interim though, I also provide explanatory videos, podcasts, whitepapers, etc. all focused on helping you to better understand the model.

2

Be a specialist, not a generalist For the same reason you seek out a specialist to assist with a particular health issue, you need the same level of specialty expertise regarding the RIA model when it comes to evaluating options for your practice.

3

No question is too minor I've learned first hand over the years that advisor awareness and understanding of the RIA model varies widely. I help advisors along all knowledge levels regarding the model.

4

Provide advice that is independent of any one solution I purposely departed working at a custodian so that I could be completely independent and provide unbiased advice regarding ALL of the options available when transitioning to RIA.

5

Be approachable This is not to imply that approaching me specifically might be intimidating, but simply a realization that the process of seeking out such information can seem daunting. I work to make the process as easy and informative as possible. Rest assured, I have discretely helped advisors of all experience and AUM levels. I'd be happy to help you as well.

About Me (Brad Wales)

Industry Experience

Nearly 20 years in the industry; 10+ directly in the RIA model

RIA Model Experience

Positions in Compliance, Finance, and Business Development.

Education

Bachelors and MBA

Licenses

4 / 7 / 24 / 63 / 65

Proof of Expertise

Refer to my 100+ videos, whitepapers, podcasts, etc.

Practice What I Preach

I left to start my own independent firm; just like I coach advisors on doing themselves.

"I wish every broker working within the wirehouse environment would get in the habit of reading Wales' column in Advisor Perspectives" - Bob Veres

🔍 As Seen In:

(Mentions starting as-of late 2020)

"During our multi-year journey to creating our RIA we interfaced with several experts. Brad provided not only significant expertise but high quality unbiased advice. He was invested in us more so than the outcome and has become not just a trusted advisor but close friend." - John L.

FREE WHITEPAPER:  “Steps To Take Now If You Anticipate Transitioning Your Practice To The RIA Model Anytime Within The Next 10 Years.”

YES, I WANT TO BE PREPARED