Guide

The RIA roadmap: Your all-in-one guide to becoming an independent RIA

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Everyone's journey to the independent Registered Investment Advisor (RIA) model is different. It's about taking a series of small steps, knowing they could add up to something big. And if you're unsure of where to start or just looking to learn more about what's involved in the process, this interactive whitepaper could hold the answers. It's a compilation of the knowledge and learnings from Schwab's more than 35 years of working with thousands of financial advisors as they make the switch.

In the whitepaper you'll learn and explore:

4 key steps for every transition and how to navigate them
5 unique advisory models for RIAs
Why over 21 thousand¹ financial advisors have transitioned to the RIA model in the past 14 years
How Schwab has helped advisors move over 1.1 million² client accounts totaling over $414 billion³ in AUM in total
And a lot more

_Disclosures:
_{1. The Cerulli Report, U.S. Intermediary Distribution 2021: Leveraging Data to Navigate Change, Exhibit 2.05, Cerulli Associates.}

_{2. Schwab Advisor Services, Strategic Business Development, 2021}

_{3. ACT Advisor Conversion Services Dashboard Metrics: January 2005–March 2022.}

_{Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Charles Schwab & Co., Inc. ("Schwab"), member}_SIPC._{Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.}

_{This is a sponsored feature developed by Schwab and supported by Financial Planning.}

_{Financial Planning is not affiliated with The Charles Schwab Corporation. Any mention of third-party firms or individuals is not and should not be construed as a recommendation, endorsement, or sponsorship by Schwab.}

_{Financial Planning will share your information with Sponsor, Charles Schwab & Co., Inc. Schwab may use it to contact you and to send you additional insights from Schwab Advisor Services™. Read about privacy at Schwab at}_{www.schwab.com/privacy.}

_{TRG (0823-20V4)}