41 min
Q41 - How Do I Navigate The Legal Considerations Of Breaking Away To Transition To The RIA Model? Transition To RIA Podcast
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- Investing
Episode #41: This is episode #41 of the Transition To RIA question and answer series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I am joined by special guest Sharron Ash, where together we address:
✔️ The profile of advisor that needs to be familiar with these legal considerations.
✔️ The "broker protocol" and when/how a transitioning advisor might utilize it.
✔️ Considerations to be aware of beyond just general solicitation topics.
✔️ How to develop a strategy to navigate a transition.
About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has nearly 20 years of industry experience, including direct RIA related roles in Compliance, Finance and Business Development. He has an MBA and has held the 4, 7, 24, 63 & 65 licenses. On his website he has a large catalog of free videos, whitepapers, as well as other resources to help advisors fully understand the RIA model and how it would apply to their unique circumstances.
Website: TransitionToRIA.com
Episode #41: This is episode #41 of the Transition To RIA question and answer series where I answer Registered Investment Advisor (RIA) related questions I get from advisors just like you. On today's episode I am joined by special guest Sharron Ash, where together we address:
✔️ The profile of advisor that needs to be familiar with these legal considerations.
✔️ The "broker protocol" and when/how a transitioning advisor might utilize it.
✔️ Considerations to be aware of beyond just general solicitation topics.
✔️ How to develop a strategy to navigate a transition.
About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has nearly 20 years of industry experience, including direct RIA related roles in Compliance, Finance and Business Development. He has an MBA and has held the 4, 7, 24, 63 & 65 licenses. On his website he has a large catalog of free videos, whitepapers, as well as other resources to help advisors fully understand the RIA model and how it would apply to their unique circumstances.
Website: TransitionToRIA.com
41 min