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10 FAQs About Moving to the RIA Model

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Interest in adopting the RIA model, and the wave of advisors transitioning their practices to it, has accelerated.

There are many reasons advisors choose to make such a transition: advantageous economics, increased flexibility, more appealing succession options, or simply a desire to control the future of their practice. The appeal of the RIA model is strong.

However, there is a knowledge gap on how the model works.

There are several additional details to each of these topics that I help advisors to understand, but to provide an initial “toe dip,” here are 10 common questions and the answers about transitioning to the RIA model.

Hopefully, this information will help you get started in learning whether the RIA model is something you want to adopt.

Brad Wales is the founder of Transition To RIA, a consulting firm focused on helping established advisors understand why and how to transition their practice to RIA model. He has 20 years of industry experience in direct RIA-related roles in compliance, finance and business development.