Transition To RIA Podcast
By Brad Wales
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Category: Investing
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Episodes: 146
Description
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.
| Episode | Date |
|---|---|
|
Q148 - How Much Does A Custodian Cost?
|
May 14, 2026 |
|
Q147 - Can I Service HNW And UHNW Clients As An RIA?
|
Apr 30, 2026 |
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Q146 - How Long Does It Take To Register An RIA?
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Apr 16, 2026 |
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Q145 - When Do You Need Legal Advice As Part Of An RIA Transition?
|
Mar 31, 2026 |
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Q144 - How Does An RIA Compare To An Independent Broker-Dealer?
|
Mar 19, 2026 |
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Q143 - What Is The Minimum AUM Needed To Have Your Own RIA?
|
Mar 05, 2026 |
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Q142 - How Do I Evaluate An RIA To Join?
|
Feb 19, 2026 |
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Q141 - Is It Easier To Acquire An Existing RIA Or Register A New One?
|
Feb 05, 2026 |
|
Q140 - How Does Transitioning To Another Wirehouse Compare To Transitioning To The RIA Model?
|
Jan 22, 2026 |
|
Q139 - What Time Of Year Should I Transition To The RIA Model?
|
Jan 06, 2026 |
|
Q138 - What Is A 1099 RIA Model?
|
Dec 16, 2025 |
|
Q137 - Why Do Advisors Leave The Wirehouse Model For The RIA Model?
|
Nov 26, 2025 |
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Q136 - What Does The "Portfolio Management" Tool In An RIA Tech Stack Do?
|
Nov 13, 2025 |
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Q135 - What Is The Best Custodian To Use With Your RIA?
|
Oct 30, 2025 |
|
Q134 - What Are The Biggest Ways To Screw Up A Transition To The RIA Model?
|
Oct 16, 2025 |
|
Q133 - Steps Involved With Breaking Away From A Wirehouse To Transition To The RIA Model?
|
Oct 02, 2025 |
|
Q132 - What Is An RIA Solicitor Agreement?
|
Sep 18, 2025 |
|
Q131 - What Is The Benefit Of Controlling Your Local Expenses As An RIA?
|
Aug 28, 2025 |
|
Q130 - What Is An RIA Roll-Up Firm?
|
Aug 14, 2025 |
|
Q129 - Can I Use Alternative Investments As An RIA?
|
Jul 31, 2025 |
|
Q128 - Can I Use The Same Investment Models Or SMAs That I'm Using Now If I Transition To The RIA Model?
|
Jul 10, 2025 |
|
Q127 - What Is The Difference Between An RIA And A Broker-Dealer?
|
Jun 17, 2025 |
|
Q126 - What Type Of Fees Can I Charge My Clients In The RIA Model?
|
May 29, 2025 |
|
Q125 - How Difficult Is A Transition To The RIA Model?
|
May 16, 2025 |
|
Q124 - What Is An RIA-Friendly Broker-Dealer?
|
Apr 29, 2025 |
|
Q123 - What Additional Responsibilities Come With Your Own RIA?
|
Apr 15, 2025 |
|
Q122 - Is The Payout In The RIA Model Really 100%?
|
Apr 01, 2025 |
|
Q121 - Do I Have To Drop My Series 7 If I Go RIA?
|
Mar 13, 2025 |
|
Q120 - Are There Platform Fees In The RIA Model?
|
Feb 25, 2025 |
|
Q119 - How To Make Up For Lost Deferred Comp When Transitioning To The RIA Model?
|
Feb 11, 2025 |
|
Q118 - Is My Practice Too Large To Join An RIA?
|
Jan 23, 2025 |
|
Q117 - How To Solve For Your Remaining Commission Assets?
|
Jan 07, 2025 |
|
Q116 - How To Explain To Clients Your Transition To The RIA Model?
|
Dec 10, 2024 |
|
Q115 - How Does An RIA Payout Compare To A Broker Dealer Payout?
|
Nov 21, 2024 |
|
Q114 - What Are The Most Stressful Parts Of Starting An RIA?
|
Oct 31, 2024 |
|
Q113 - Can I Join A Custodian's Client Referral Program?
|
Oct 15, 2024 |
|
Q112 - What Motivates Advisors To Transition To The RIA Model?
|
Sep 24, 2024 |
|
Q111 - Most Time Consuming Part Of Transitioning To The RIA Model?
|
Sep 05, 2024 |
|
Q110 - What Is The Most Popular Type Of RIA To Join?
|
Aug 22, 2024 |
|
Q109 - What Is The Most Exciting Part About Starting An RIA?
|
Aug 06, 2024 |
|
Q108 - Difference Between Reoccurring Revenue & Fee Based Revenue?
|
Jul 16, 2024 |
|
Q107 - Are The Economics Better In The RIA Model?
|
Jun 27, 2024 |
|
Q106 - What Is The Real Estate Advantage Of The RIA Model?
|
Jun 11, 2024 |
|
Q105 - Will My Practice Have A Higher Valuation In The RIA Model?
|
May 23, 2024 |
|
Q104 - Should I Transition To The "RIA Channel" At My Multi-Channel Firm?
|
May 07, 2024 |
|
Q103 - Should I Avoid Joining A Private Equity Backed RIA?
|
Apr 18, 2024 |
|
Q102 - Difference Between A Super-OSJ And An RIA?
|
Apr 04, 2024 |
|
Q101 - Difference Between A Hybrid RIA And A Hybrid Broker-Dealer?
|
Mar 19, 2024 |
|
Q100 - Seven Questions Michael Kitces Has Never Been Asked.
|
Feb 27, 2024 |
|
Q99 - What Do Advisors Fear About Compliance With The RIA Model?
|
Feb 08, 2024 |
|
Q98 - Is The RIA Model Right For Your Practice?
|
Jan 23, 2024 |
|
Q97 - What Type Of RIAs Should You NOT Join?
|
Jan 04, 2024 |
|
Q96 - What Is The Quickest You Could Transition To The RIA Model?
|
Dec 12, 2023 |
|
Q95 - Harder To Pick An RIA To Join Than A Broker-Dealer To Join?
|
Nov 28, 2023 |
|
Q94 - Why Go RIA When Wirehouses Offer Huge Upfront Checks?
|
Nov 06, 2023 |
|
Q93 - What Is The Difference Between A Corporate RIA And An Independent RIA?
|
Oct 24, 2023 |
|
Q92 - How Much Cash Should I Have Saved Before Transitioning My Practice To The RIA Model?
|
Oct 05, 2023 |
|
Q91 - What Is The Payout If I Join An RIA?
|
Sep 19, 2023 |
|
Q90 - What Website Domain Should I Use With My New RIA?
|
Aug 29, 2023 |
|
Q89 - How Do I Evaluate A Potential RIA To Join?
|
Aug 08, 2023 |
|
Q88 - The 3 Key Decisions Involved When Considering The RIA Model.
|
Jul 25, 2023 |
|
Q87 - What Is The Most Important Software For A New RIA?
|
Jul 06, 2023 |
|
Q86 - How To Run A Large RIA With Only One Person?
|
Jun 22, 2023 |
|
Q85 - What Could Prevent An Advisor From Starting An RIA?
|
May 25, 2023 |
|
Q84 - How Much Does It Cost To Start An RIA?
|
May 10, 2023 |
|
Q83 - How Much E&O Coverage Does My RIA Need?
|
Apr 27, 2023 |
|
Q82 - Won't Large RIAs Have The Same Challenging Compliance Departments As Broker-Dealers?
|
Apr 11, 2023 |
|
Q81 - Is Broker-Dealer Technology Better Than RIA Technology?
|
Mar 23, 2023 |
|
Q80 - Can I Take My Employees With Me If I Transition To The RIA Model?
|
Mar 08, 2023 |
|
Q79 - How Do I Explain The RIA Model To Clients?
|
Feb 23, 2023 |
|
Q78 - Can I Manage Client Assets Myself As An RIA?
|
Feb 07, 2023 |
|
Q77 - Why Don't More Financial Advisors Transition To The RIA Model?
|
Jan 19, 2023 |
|
Q76 - Can I Accommodate Concentrated Stock Positions As An RIA?
|
Jan 04, 2023 |
|
Q75 - 13 Ways That Registered Investment Advisors Have An Unfair Advantage.
|
Dec 13, 2022 |
|
Q74 - How Can I Reduce Or Eliminate My Real Estate Office Expense As An RIA?
|
Nov 21, 2022 |
|
Q73 - What Is A "Corporate RIA?"
|
Nov 03, 2022 |
|
Q72 - How To Calculate Your True "Net" Broker/Dealer Payout?
|
Oct 19, 2022 |
|
Q71 - What Is A "Supported Independence" RIA model?
|
Oct 03, 2022 |
|
Q70 - Can I Have Foreign Clients As An RIA?
|
Sep 07, 2022 |
|
Q69 - How To Generate The Highest Income With Your RIA?
|
Aug 23, 2022 |
|
Q68 - Mistakes To Avoid When Trying To Recruit Advisors To Join Your RIA?
|
Aug 02, 2022 |
|
Q67 - How Would I Improve The Wirehouse Brokerage Model?
|
Jul 19, 2022 |
|
Q66 - Should You Change Affiliation Models During Challenging Market Conditions?
|
Jun 27, 2022 |
|
Q65 - Mistakes Financial Advisors Make When Transitioning To The RIA Model.
|
Jun 09, 2022 |
|
Q64 - What Do I Think Of "IAR-Only" Channels At Broker-Dealers?
|
May 26, 2022 |
|
Q63 - What Are The Largest Expenses Of Running An RIA?
|
May 09, 2022 |
|
Q62 - Should I Join An Independent Broker-Dealer First Or Should I Go Straight To The RIA Model?
|
Apr 25, 2022 |
|
Q61 - What Should I Do With My Legacy Commission Business?
|
Apr 06, 2022 |
|
Q60 - How Does A Wirehouse Compare To An RIA?
|
Mar 23, 2022 |
|
Q59 - What Is An RIA Technology Stack?
|
Mar 08, 2022 |
|
Q58 - What Is An Outsourced Chief Compliance Officer?
|
Feb 22, 2022 |
|
Q57 - What is a TAMP?
|
Feb 03, 2022 |
|
Q56 - What Is The Broker Protocol?
|
Jan 24, 2022 |
|
Q55 - How Much Revenue Does A Broker-Dealer Generate From Their Advisors?
|
Jan 04, 2022 |
|
Q54 - 10 Questions On The Future Of The RIA Model With Bob Veres.
|
Dec 13, 2021 |
|
Q53 - How To Choose A Custodian For Your RIA?
|
Nov 22, 2021 |
|
Q52 - How To Structure The Legal Ownership Of An RIA?
|
Nov 02, 2021 |
|
Q51 - Should I Join An Existing RIA?
|
Oct 14, 2021 |
|
Q50 - How To Offer Insurance Solutions As An RIA?
|
Sep 23, 2021 |
|
Q49 - How Long Does It Take To Transition To The RIA Model?
|
Sep 08, 2021 |
|
Q48 - Why Should An RIA Use LinkedIn?
|
Aug 23, 2021 |
|
Q47 - 10 Reasons To NOT Start An RIA?
|
Aug 02, 2021 |
|
Q46 - How Do I Obtain E&O Insurance As An RIA?
|
Jul 14, 2021 |
|
Q45 - How To Charge For Financial Planning?
|
Jun 28, 2021 |
|
Q44 - Minimum AUM Needed To Start Your Own RIA?
|
May 27, 2021 |
|
Q43 - How To Run The Business Side Of Your Own RIA?
|
May 12, 2021 |
|
Q42 - How To Start An RIA?
|
Apr 26, 2021 |
|
Q41 - How Do I Navigate The Legal Considerations Of Breaking Away To Transition To The RIA Model?
|
Apr 07, 2021 |
|
Q40 - How Does A Broker-Dealer Grid Payout Compare To An RIA?
|
Mar 15, 2021 |
|
Q39 - How Do I Start A Podcast As My Own RIA?
|
Feb 22, 2021 |
|
Q38 - Am I Required To Have A CFP Designation To Start My Own RIA?
|
Feb 01, 2021 |
|
Q37 - How Do I Create A Marketing Plan For My New Advisory Firm?
|
Jan 09, 2021 |
|
Q36 - How Does An RIA Custodian Generate Revenue?
|
Dec 24, 2020 |
|
Q35 - What Is A "Hybrid" RIA?
|
Dec 07, 2020 |
|
Q34 - What Kind Of RIA Compliance Consultants Are There To Choose From?
|
Dec 07, 2020 |
|
Q33 - Can An RIA Charge Performance Fees?
|
Dec 07, 2020 |
|
Q31 - What Is The Difference Between Fee Based And Fee Only?
|
Dec 07, 2020 |
|
Q30 - Is It Possible To Keep Some Of My Legacy Commission Business As An RIA?
|
Dec 07, 2020 |
|
Q28 - What Can I Expect To Happen During A Regulatory Exam?
|
Dec 07, 2020 |
|
Q27 - Can I Start As Single Custodian And Then Become Multi-Custodian Later?
|
Dec 07, 2020 |
|
Q26 - What Conflicts Of Interest Do You Have To Disclose As An RIA?
|
Dec 07, 2020 |
|
Q25 - Should I Buy An Existing RIA Or Start My Own?
|
Dec 07, 2020 |
|
Q24 - What Is A "No Transaction Fee" Program?
|
Dec 07, 2020 |
|
Q23 - What Is The Difference Between Transaction Based Pricing & Asset Based Pricing?
|
Dec 07, 2020 |
|
Q22 - Does My Custodian Send Account Statements To My Clients?
|
Dec 07, 2020 |
|
Q21 - Can I Charge Flat Or Hourly Rate Fees For Financial Planning As An RIA?
|
Dec 07, 2020 |
|
Q20 - What Is The Minimum Account Size I Can Have As An RIA?
|
Dec 07, 2020 |
|
Q19 - Will My Custodian Offer Every Mutual Fund I Might Want To Use With My Clients?
|
Dec 07, 2020 |
|
Q18 - Will I Keep 100% Of My Clients If I Start My Own RIA?
|
Dec 07, 2020 |
|
Q17 - As An RIA, Can I Use More Than One Custodian?
|
Dec 07, 2020 |
|
Q16 - What Is An Advisory Agreement And How Do I Create One?
|
Dec 07, 2020 |
|
Q15 - Does The Client Or RIA Pay The Trading Transaction Costs?
|
Dec 07, 2020 |
|
Q14 - What Level Of Bottom Line Income Can I Expect To Earn As An RIA?
|
Dec 07, 2020 |
|
Q13 - Can I Sell Insurance Products As An RIA?
|
Dec 07, 2020 |
|
Q12 - How Much Does An RIA Compliance Consultant Cost?
|
Dec 07, 2020 |
|
Q11 - Won't I Have To Pay For Doing My Own Compliance As An RIA?
|
Dec 07, 2020 |
|
Q10 - Will I Officially Own My Book With My Own RIA?
|
Dec 07, 2020 |
|
Q9 - What Is The Minimum AUM I Must Have To Start An RIA?
|
Dec 07, 2020 |
|
Q8 - How Often Will My RIA Receive A Regulatory Exam?
|
Dec 07, 2020 |
|
Q7 - Do I Have To Get Outside Business Activities Approved As An RIA?
|
Dec 07, 2020 |
|
Q6 - Can I Have Discretionary Accounts As An RIA?
|
Dec 07, 2020 |
|
Q5 - How Long Does It Take To Register An RIA?
|
Dec 07, 2020 |
|
Q4 - How Do I Logistically Setup An RIA?
|
Dec 07, 2020 |
|
Q3 – What Is The Difference Between An RIA And An IAR?
|
Dec 06, 2020 |
|
Q2 – Do I Need To Register My RIA With The SEC Or With My State?
|
Dec 06, 2020 |
|
Q1 - Why Should I Consider Transitioning To The RIA Model?
|
Dec 06, 2020 |