Q6 – Can I have discretionary accounts as an RIA?

Q6 – Can I have discretionary accounts as an RIA?

… Also available as podcast (Episode #6) Apple  |  Android  |  Spotify  |  Amazon Can I have discretionary accounts as an RIA? Unlike while being affiliated with a broker/dealer in which you generally must seek permission from the B/D to use discretion with your...
Q5 – How long does it take to register an RIA?

Q5 – How long does it take to register an RIA?

… Also available as podcast (Episode #5) Apple  |  Android  |  Spotify  |  Amazon How long does it take to register an RIA? The Registered Investment Advisor (“RIA”) registration process generally takes between 45-90 days from the time you initially...
Q4 – How do I logistically setup an RIA?

Q4 – How do I logistically setup an RIA?

… Also available as podcast (Episode #4) Apple  |  Android  |  Spotify  |  Amazon How do I logistically setup an RIA? In theory, anyone on their own can register a new Registered Investment Advisor (“RIA”) via the Investment Adviser Registration...
Q3 – What is the difference between an RIA and an IAR?

Q3 – What is the difference between an RIA and an IAR?

… Also available as podcast (Episode #3) Apple  |  Android  |  Spotify  |  Amazon What is the difference between an RIA and an IAR? A Registered Investment Advisor (“RIA”) and an Investment Advisor Representative (“IAR”) are distinctly...
Q1 – Why should I consider transitioning to the RIA model?

Q1 – Why should I consider transitioning to the RIA model?

… Also available as podcast (Episode #1) Apple  |  Android  |  Spotify  |  Amazon Why should I consider transitioning to the RIA model? The Registered Investment Advisor channel continues to be the fastest growing channel within our industry, and for good...
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