Transition To RIA Podcast

Brad Wales
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Transition To RIA Podcast

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.

  1. 7 THG 1

    Q117 - How To Solve For Your Remaining Commission Assets?

    A common misconception about the RIA model is that you must be 100% fee-only with your practice.While many RIAs are indeed 100% fee-only, and others aspire to eventually be, there is no requirement to do so.Many RIAs operate under a hybrid arrangement, allowing them to continue servicing legacy and/or new brokerage relationships.Other RIAs work to slowly transition their current fee/commission practice towards a fee-only structure.In this episode (#117) of the Transition To RIA question and answer series, I discuss several approaches RIAs use to “solve” for their remaining commission assets.Come take a listen!P.S. Prefer video? You can find this entire series in video format on Youtube. Search for the TRANSITION TO RIA channel.Show notes: https://TransitionToRIA.com/how-to-solve-for-your-remaining-commission-assets/ (https://TransitionToRIA.com/how-to-solve-for-your-remaining-commission-assets/)About Host: Brad Wales is the founder of Transition To RIA (https://transitiontoria.com/), where he helps financial advisors understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has 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. The Transition To RIA website (TransitionToRIA.com) has a large catalog of free videos, articles, whitepapers, as well as other resources to help advisors understand the RIA model and how it would apply to their unique circumstances.

    27 phút

  2. 10/12/2024

    Q116 - How To Explain To Clients Your Transition To The RIA Model?

    You’ve spent months researching the RIA model.Months performing due diligence.Months planning for the actual transition.The day to transition arrives.You resign from your firm.You pick up the phone and call your first client to tell them about your new plans.But what do you say?How should you say it?What might your clients say?In this episode of the Transition To RIA question and answer series, I provide 9 tips on how to explain to clients your transition to the RIA model.Come take a listen!P.S. Prefer video? You can find this entire series in video format on Youtube. Search for the TRANSITION TO RIA channel.Show notes: https://TransitionToRIA.com/how-to-explain-to-clients-your-transition-to-the-ria-model/ (https://TransitionToRIA.com/how-to-explain-to-clients-your-transition-to-the-ria-model/)About Host: Brad Wales is the founder of Transition To RIA (https://transitiontoria.com/), where he helps financial advisors understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has 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. The Transition To RIA website (TransitionToRIA.com) has a large catalog of free videos, articles, whitepapers, as well as other resources to help advisors understand the RIA model and how it would apply to their unique circumstances.

    25 phút

  3. 21/11/2024

    Q115 - How Does An RIA Payout Compare To A Broker Dealer Payout?

    What is the payout in the RIA model?Simple question, not so simple answer.To perform an accurate comparison, you must:* Properly calculate your current payout.* Understand how payouts are expressed in the RIA model (spoiler: there is far less uniformity in the RIA space.)* Consider what value is provided to you for the payout, and what you’re responsible for sourcing yourself.* Consider how the resulting payout figures compare across channels and offerings.In this episode of the Transition To RIA question and answer series, I expand on each of these variables.Come take a listen!P.S. Prefer video? You can find this entire series in video format on Youtube. Search for the TRANSITION TO RIA channel.Show notes: https://TransitionToRIA.com/how-does-an-ria-payout-compare-to-a-broker-dealer-payout/ (https://TransitionToRIA.com/how-does-an-ria-payout-compare-to-a-broker-dealer-payout/)About Host: Brad Wales is the founder of Transition To RIA (https://transitiontoria.com/), where he helps financial advisors understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has 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. The Transition To RIA website (TransitionToRIA.com) has a large catalog of free videos, articles, whitepapers, as well as other resources to help advisors understand the RIA model and how it would apply to their unique circumstances.

    20 phút

  4. 31/10/2024

    Q114 - What Are The Most Stressful Parts Of Starting An RIA?

    Transitioning your practice to the RIA model involves a lot of work, and at times, a fair amount of stress.But ask anyone that has made the transition, and they’ll tell you the destination is worth the journey.You should prepare yourself, though, for what the journey will entail.In this episode of the Transition To RIA question & answer series I explain what the most stressful parts of a transition are, and how to prepare for them.Come take a listen!P.S. Prefer video? You can find this entire series in video format on Youtube. Search for the TRANSITION TO RIA channel.Show notes: https://TransitionToRIA.com/what-are-the-most-stressful-parts-of-starting-an-ria/ (https://TransitionToRIA.com/what-are-the-most-stressful-parts-of-starting-an-ria/)About Host: Brad Wales is the founder of Transition To RIA (https://transitiontoria.com/), where he helps financial advisors understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has 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. The Transition To RIA website (TransitionToRIA.com) has a large catalog of free videos, articles, whitepapers, as well as other resources to help advisors understand the RIA model and how it would apply to their unique circumstances.

    21 phút

  5. 15/10/2024

    Q113 - Can I Join A Custodian's Client Referral Program?

    If you start your own RIA, will you be able to participate in your custodian’s client referral program?First starters, do you know what these programs are?Or which custodians have them?Or who is eligible, and likely to be able to participate in them?In this episode of the Transition To RIA question & answer series I address these questions, and more!Come take a listen!P.S. Prefer video? You can find this entire series in video format on Youtube. Search for the TRANSITION TO RIA channel.Show notes: https://TransitionToRIA.com/can-i-join-a-custodians-client-referral-program/ (https://TransitionToRIA.com/can-i-join-a-custodians-client-referral-program/)About Host: Brad Wales is the founder of Transition To RIA (https://transitiontoria.com/), where he helps financial advisors understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has 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. The Transition To RIA website (TransitionToRIA.com) has a large catalog of free videos, articles, whitepapers, as well as other resources to help advisors understand the RIA model and how it would apply to their unique circumstances.

    15 phút

  6. 24/09/2024

    Q112 - What Motivates Advisors To Transition To The RIA Model?

    Whether in our personal or professional lives, most everything in life revolves around motivations.* What motivates you to run your advisory practice as you do?* What motivates you to pursue certain hobbies and passions?* What motivates your kids to make the decisions they do?When financial advisors and teams reach out to me to explore the RIA model, I typically start by asking what has motivated them to do so.Having asked hundreds of advisors this question, the answers typically revolve around a desire for more flexibility with their practice, and/or better economics.In this episode of the Transition To RIA question and answer series I provide examples of what the specific motivations often are. Come take a listen!P.S. Prefer video? You can find this entire series in video format on Youtube. Search for the TRANSITION TO RIA channel.Show notes: https://TransitionToRIA.com/what-motivates-advisors-to-transition-to-the-ria-model/ (https://TransitionToRIA.com/what-motivates-advisors-to-transition-to-the-ria-model/)About Host: Brad Wales is the founder of Transition To RIA (https://transitiontoria.com/), where he helps financial advisors understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has 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. The Transition To RIA website (TransitionToRIA.com) has a large catalog of free videos, articles, whitepapers, as well as other resources to help advisors understand the RIA model and how it would apply to their unique circumstances.

    25 phút

  7. 05/09/2024

    Q111 - Most Time Consuming Part Of Transitioning To The RIA Model?

    How long does a transition to the RIA model take?The time needed is impacted by variables such as the circumstances of the advisor/team, which pathway into the model is chosen, etc.It is complicated further due to certain steps in the process being out of the control of the advisor/team as to how fast they can be completed.In this episode of the Transition To RIA question & answer series I address which steps in the process are the most time consuming.Come take a listen!P.S. Prefer video? You can find this entire series in video format on Youtube. Search for the TRANSITION TO RIA channel.Show notes: https://TransitionToRIA.com/what-is-the-most-time-consuming-part-of-transitioning-to-the-ria-model/ (https://TransitionToRIA.com/what-is-the-most-time-consuming-part-of-transitioning-to-the-ria-model/)About Host: Brad Wales is the founder of Transition To RIA (https://transitiontoria.com/), where he helps financial advisors understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has 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. The Transition To RIA website (TransitionToRIA.com) has a large catalog of free videos, articles, whitepapers, as well as other resources to help advisors understand the RIA model and how it would apply to their unique circumstances.

    19 phút

  8. 22/08/2024

    Q110 - What Is The Most Popular Type Of RIA To Join?

    There are several reasons advisors choose to join an existing RIA versus starting their own.But that’s not the only decision to be made.There are a wide variety of “flavors” of RIAs to then choose from.Differing economics, flexibility, approach to branding, taxation, succession solutions, are just some of the many variables that can differentiate them.But of all the options, which is the most popular?In this episode of the Transition To RIA question & answer series I explain how these solutions are often differentiated…..and which is the most popular.Come take a listen!P.S. Prefer video? You can find this entire series in video format on Youtube. Search for the TRANSITION TO RIA channel.Show notes: https://TransitionToRIA.com/what-is-the-most-popular-type-of-ria-to-join/ (https://TransitionToRIA.com/what-is-the-most-popular-type-of-ria-to-join/)About Host: Brad Wales is the founder of Transition To RIA (https://transitiontoria.com/), where he helps financial advisors understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has 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. The Transition To RIA website (TransitionToRIA.com) has a large catalog of free videos, articles, whitepapers, as well as other resources to help advisors understand the RIA model and how it would apply to their unique circumstances.

    19 phút
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Giới Thiệu

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.

Thông Tin

  • Nhà sáng tạo
    Brad Wales
  • Năm hoạt động
    2020 - 2025
  • Tập
    115
  • Xếp hạng
    Sạch
  • Bản quyền
    © Copyright 2025 Transition To RIA Podcast
  • Trang web chương trình
    Transition To RIA Podcast

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