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:
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.
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.
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.
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.
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)
Nearly 20 years in the industry; 10+ directly in the RIA model
RIA Model Experience
Positions in Compliance, Finance, and Business Development.
Bachelors and MBA
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:
- "Should I Join an Existing RIA?" (Advisor Perspectives)
- "What Advisors Can Learn from Job Seekers" (Advisor Perspectives)
- "PE Firm Sells Part Of Its Stake In $40B Wealth Enhancement Group" (Financial Planning Magazine)
- "Raymond James Enterprise Hires Former Waddell & Reed Recruiter" (Financial Planning Magazine)
- "The Inconvenient Math of the W2 Model" (Advisor Perspectives)
- "LPL’s Hybrid RIA Power Play" (Financial Planning Magazine)
- "The RIA Wild West of Going Independent" (Coffee & Regs Podcast)
- "What is a 'Hybrid' RIA?" (Advisor Perspectives)
- "Information Sharing and Navigating the RIA Marketplace" (The Admired Advisor Podcast)
- "Increase Coming in Introducing-Custodians for RIAs" (InvestmentNews)
- "RIA Model: What You Need To Know" (Master Class series presentation) (First Ascent Asset Management)
- "Rise of Middle-Office Providers For RIAs" (InvestmentNews)
- "You've Been Calculating Your Payout Wrong" (Advisor Perspectives)
- "Salary-Plus-Bonus Will Arrive at the Wirehouses" (InvestmentNews)
- "The Outlook for the Independent Broker-Dealer Model" (InvestmentNews)
- "Is Bigger Better?" (Advisor Perspectives)
- "What Advisors Should Consider When Exploring the RIA Marketplace" (Thrivent Insights)
- "The Ridiculousness of the BrokerCheck System" (RIAIntel)
- "Money is Irrelevant When it Comes to Your Career" (Advisor Perspectives)
- "Answering Questions About Going RIA" (InvestmentNews)
- "What Minimum AUM Do You Need to be Your Own RIA?" (Advisor Perspectives)
- "Warren Buffett On Up-Front Recruiting Checks" (FA Magazine)
- "How Do I Start My Own RIA?" (Advisor Perspectives)
- "Pros & Cons Of Building Your RIA From Scratch vs. Tucking Into An Established RIA" (InvestmentNews RIA Summit)
- "An Inspired Perspective with Brad Wales Founder of Transition to RIA" (Inspire Growth)
- "10 More FAQs About Moving to the RIA Model" (ThinkAdvisor)
- "The Overhyped New Marketing Rule" (Advisor Perspectives)
- "RIA Model" (presentation) (Financial Planning Association - Rhode Island Chapter)
- "Stop Asking If You Need A Haircut"(Advisor Perspectives)
- "Are RIAs Better Marketers?" (Financial Advisor Marketing Podcast)
- "The Math Problem Brokers Can’t Solve" (Advisor Perspectives)
- "Brad Wales on Transitioning to the RIA Model" (ModelFA Podcast)
- "Is a CFP About to Become a Requirement for RIAs?" (Advisor Perspectives)
- "RIA Model" (presentation) (Financial Planning Association - Southern Arizona Chapter)
- "Is RIA Firm Marketing Easier Than Broker Dealer Marketing?" (Sara Grillo Podcast)
- "Shawshank Redemption’s Lessons for Breakaway Advisors" (Advisor Perspectives)
- "Transitioning to the RIA Model Under the Biden Administration" (Advisor Perspectives)
- "How To Leverage the Power of Outsourcing Through a Network of Referral Partners" (Top Advisor Marketing Podcast)
- "10 FAQs About Moving to the RIA Model" (ThinkAdvisor)
- "Weekend Reading for Financial Planners" (Kitces.com)
- "Do I Have to be 100% Fee-based to Start My Own RIA?" (Advisor Perspectives)
- "How Advisors Are Transitioning to RIAs" (Indigo Marketing Agency Webinar)
- "Transition To RIA" (SharkPreneur Podcast)
- "Do RIAs Have to Pay for Their Own Compliance?" (Advisor Perspectives)
- "Why the Breakaway Broker Exodus Hasn’t Happened" (Advisor Perspectives)
- "Record Number Of US Business Applications Have COVID-19 Stamped All Over Them" (International Business Times)
(Mentions starting as-of late 2020)