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Advisor Services
 * Contact Us
   Interested in Schwab?
   Let us help you explore your options and answer questions about becoming an
   independent advisor with Schwab.
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 * Going Independent
   * * Going Independent?
       The move to the RIA model is about doing what's best for clients—on your
       terms.
       View All
     * * Overview
       * Understanding the Advantages
       * The Support You Need
     * * Choosing the Right Path
       * Tools & Resources
 * Why Schwab
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 * Serving Your Clients
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       * IMPACT

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GOING INDEPENDENT SECTION

Understanding the Advantages
 * Understanding the Advantages
 * The Support You Need
 * Choosing the Right Path
 * Tools & Resources

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GOING INDEPENDENT

This is your moment. We can help you seize it. 




BECOMING AN INDEPENDENT REGISTERED INVESTMENT ADVISOR

Independence isn't just the logical next step in a successful career—it's what
gives you the freedom to offer a new level of service to your clients. Schwab
helps independent Registered Investment Advisor (RIA) firms of all sizes follow
their own blueprints to create a brighter, more prosperous future.

 * THE FUTURE IS BRIGHT FOR RIAS
   
   
   
   The independent RIA movement is growing—are you ready to be a part of it? See
   how advisors are reshaping the financial landscape.
   
   View the Infographic
 * BUSTING RIA MYTHS
   
   
   
   You've probably heard many misconceptions and outdated ideas about the RIA
   model. Get the facts to see if the RIA model is the right path for you.
   
   View the Infographic
 * MEET CHALLENGES WITH AGILITY
   
   
   
   Discover how the flexibility of independence helps advisors pursue their
   goals, even in times of turbulence. The Rise Above white paper shares
   advisors' stories about finding strength in the RIA model.
   
   Download the White Paper
 * CREATING A MODERN OFFICE
   
   
   
   The beauty of independence is getting to decide for yourself what work looks
   like. In Creating Your Own Formula for the Modern Office, you'll learn four
   ways that RIAs are redesigning work—and turning heads in the process.
   
   Download the White Paper


BENEFITS OF BECOMING AN RIA

The RIA model continues to build steam as more advisors make the transition.1
Learn what independence could look like for you and how it may help you better
serve your clients.


Understanding the Advantages




EXPERIENCE TO HELP YOU THRIVE

With more than 30 years of experience serving RIAs, Schwab connects you to a
vast network of in-house and third-party consultants and providers so that you
are supported at every stage of your journey. 


The Support You Need




INDEPENDENCE DESIGNED BY YOU

From joining an RIA as an employee to building your own firm from scratch,
there's more than one way to reach independence. Schwab Business Development
Officers can share information about the different paths so you can make the
best choice for your future.  


Choosing the Right Path




RESOURCES FOR CONTINUED GROWTH

Learn how the RIA model could work for you with our collection of interactive
tools, videos, and more.


Tools & Resources




WHAT'S YOUR EARNING POTENTIAL AS AN RIA?

WHAT'S YOUR EARNING POTENTIAL AS AN RIA?

Keeping more of what you earn is one of the compelling reasons advisors choose
to go independent. Explore the earning potential of the RIA model.

Try the Interactive Tool


QUICK INSIGHTS FROM RIA LEADERS

Choosing to break away can be full of unknowns. Learn more about going
independent today from those who have walked the well-worn path before you.

 * Watch video: Why they made the move
   
   Three Atlanta advisors discuss their experience creating a firm that allows
   them to be advocates for their clients.
   
   Read Transcript Open new window
   
   
   TRANSCRIPT
   
   SPEAKER 1:  The RIA space was compelling to us because we felt like we were
   building something.
   
   SPEAKER 2:  You just know that this is something that you're creating.
   
   You become a firm where you are an advocate for your client.
   
   SPEAKER 1:  We have no constraints because we have ownership.
   
   And to be able to control every aspect of the business was extremely
   compelling to us.
   
   SPEAKER 3:  Everybody at every level of the firm is focused on client
   service.
   
   SPEAKER 2:  All you need is an entrepreneurial spirit. The rest of it will
   come.
   
   SPEAKER 1:  And I have more time to do the things that I want to do.
   
   SPEAKER 4:  Yeah, I think helping people feels good, right?
   
    
   
   Disclosures
   
   Ross Singletary, Hank McLarty, Robert Amato and Beau Davis are clients of
   Schwab and were not compensated for their comments. The experience described
   may not be the experience of all clients and is not a guarantee of future
   performance or success.
   
   The information included in this video is intended to be general and is
   subject to change.
   
   The above-mentioned firms and their employees are not affiliated with or
   employees of Schwab unless otherwise noted. Mention should not be construed
   as a recommendation, endorsement of, or sponsorship by Schwab. The views
   expressed are those of the third party and are provided for informational
   purposes only. Experiences expressed are no guarantee of future performance
   or success and may not be representative of you or your experience.
   
   Third party trademarks are the property of their respective owners and used
   with permission. Third party firms and their employees are not affiliated
   with or an employee of Schwab.
   
   Schwab does not provide legal, regulatory, tax or compliance advice. Consult
   professionals in these fields to address your specific circumstances.
   
   Schwab Advisor Services™ provides custody, trading, and the support services
   of Charles Schwab & Co., Inc. ("Schwab"), member SIPC, to independent
   investment advisors and Charles Schwab Investment Management, Inc. ("CSIM").
   
   Independent investment advisors are not owned by, affiliated with, or
   supervised by Schwab.

 * Watch video: 3 reasons to go independent
   
   
   Read Transcript Open new window
   
   
   TRANSCRIPT
   
   3 reasons to go independent.
   With John Furey, Principal & Founder, Advisor Growth Strategies
   
   [GRAPHIC]
   1.  More control and flexibility.
   
   The one thing advisors should know about transitioning to the RIA channel is
   really control and flexibility. If I was going to part one thing on you, the
   single biggest benefit, beyond financial, beyond great outcome for your
   client, is the ability to control your business and structure it in a way
   that you just feel fantastic getting up every day and going to work. And I
   think that gets really underestimated because it seems a little esoteric when
   you’re considering it, but every RIA owner that I’ve worked with that’s made
   the move has just raved about the outcome for them, their team, and their
   families.
   
   [GRAPHIC]
   2.  Your clients want you to go independent.
   
   When you look at the market of US household wealth and what channel it's
   being serviced by, it's been going in one direction, and it's straight to the
   independent channel.  So when you look at it and say, 'Wow, investors have
   choice and that's where they're voting with their dollars, and advisors have
   choice and that's where they're voting with their dollars,' and you look at
   larger teams and you read in papers, and they're are voting with
   transitioning, wow, that just sets up for great momentum in the future for
   the RIA channel.
   
   [GRAPHIC]
   3.  The economics.
   
   We're all human. What we bring home to our families is really important. And
   what I can tell you is there's a lot of myth out there, there's a lot of
   'perhaps it's harder to run your business' out there.  But what I can tell
   you, and I can assure you, because we've helped larger teams, is the return
   on going independent is real.
   
   [GRAPHIC]
   Information as of November 16, 2017.
   
   Information included during this video is intended to be an overview and is
   subject to change.
   
   Experiences expressed by advisors may not be representative of the experience
   of other advisors and are not a guarantee of future success.
   
   The above-mentioned firm and its employees are not affiliated with or
   employees of Schwab. The mention of these third parties should not be
   construed as a recommendation, endorsement of, or sponsorship by Schwab. You
   must decide whether to hire any firm and the appropriateness of its services
   for you or your firm. Schwab does not supervise third-party firms and takes
   no responsibility to monitor the services they provide to you.
   
   Schwab does not provide legal, regulatory or compliance advice. Consult
   professionals in these fields to address your specific circumstance.
   
   Schwab Advisor Services™ serves independent investment advisors and includes
   the custody, trading, and support services of Schwab.
   
   Independent investment advisors are not owned by, affiliated with, or
   supervised by Schwab.
   
   ©2023 Charles Schwab & Co., Inc. ("Schwab"). All rights reserved. Member
   SIPC. (0123-2YG7)

 * Watch video: 3 RIA misperceptions
   
   
   Read Transcript Open new window
   
   
   TRANSCRIPT
   
   3 RIA misperceptions.
   With Brian Hamburger, President & CEO, MarketCounsel 
   
   [GRAPHIC]
   1. You have to do it all yourself.
   
   The early pioneers into this space really had to grind it out.  They had to
   be do-it-your-self-ers, they had to be willing to deal with some decline in
   capabilities from the pretty comfortable wirehouse or brokerage they left
   behind.  That's not the case anymore.  Now all you need to do is walk around
   a conference like Schwab IMPACT and as you turn around, you're surrounding by
   service providers and vendors, who are willing to fill in with all sorts of
   utility.
   
   [GRAPHIC]
   2. Too many legal and compliance pitfalls.
   
   The truth of the matter is there haven't been many significant regulatory
   developments over the past decade, decade-and-a-half, but nonetheless
   advisors are anxious.  And the reason they're anxious is because throughout
   their employment they were told that they can't do this or they can't do
   that, it's a compliance issue, compliance doesn't want you involved in this,
   compliance says you can’t do it.  The reality is very little of that was
   regulatory compliance. A lot of that was risk management, employment
   practices, and valid restrictions that an employer needs to impose when
   there’s thousands of employees.  But when there's 5, 10, 20, 30 employees,
   your perception of risk is different, and the way in which you need to manage
   risk is different.
   
   [GRAPHIC]
   3. Independence isn't for big teams with big dreams.
   
   So early on in Market Council, we considered a sizeable advisor, one who can
   really earn a living by being an investment advisor. Those tended to be firms
   that had in excess of $50 to $100 million of assets.  Over the years, that
   increased, and larger firms became firms that had 300 million or $500 million
   of assets. But many years ago, we crossed that billion-dollar threshold, and
   we started to do it quite regularly.
   
   [GRAPHIC]
   Information as of November 16, 2017.
   
   Information included during this video is intended to be an overview and is
   subject to change.
   
   Schwab does not supervise third-party firms and takes no responsibility to
   monitor the services they provide to you. Experiences expressed are no
   guarantee of future performance or success and may not be representative of
   your experience.
   
   Schwab does not provide legal, regulatory or compliance advice. Consult
   professionals in these fields to address your specific circumstance.
   
   Schwab Advisor Services™ serves independent investment advisors and includes
   the custody, trading, and support services of Schwab.
   
   Independent investment advisors are not owned by, affiliated with, or
   supervised by Schwab.
   
   ©2017 Charles Schwab & Co., Inc. ("Schwab"). All rights reserved. Member
   SIPC. (0718-8HNR)


WHY SCHWAB?

The right custodian can make a difference. Discover what sets Schwab apart and
how we can help you realize the full potential of your business. Get the
overview, or dive deeper with the links below.

 * ASSET SAFETY AT SCHWAB
   
   We take pride in our commitment to security, privacy, and long-term financial
   health. See how we protect client data and assets.
   
   Learn More
 * BUSINESS CONSULTING & EDUCATION
   
   Learn how to take your firm to new heights with our in-depth consulting and
   executive education programs.
   
   Learn More
 * FORWARD-THINKING TECHNOLOGY
   
   Our robust digital onboarding, comprehensive technology platform, and vast
   third-party tech integrations provide a streamlined end-to-end solution for
   you and your clients.
   
   Learn More


YOUR PATH TO INDEPENDENCE BEGINS HERE

YOUR PATH TO INDEPENDENCE BEGINS HERE

Take the first step toward the RIA model. Connect with a Schwab Business
Development Officer for a completely confidential conversation and to learn how
we can help advisors.

Contact Us Call 877-687-4085
reii
genlp
(1221-1JXN)

1. The Cerulli Report, U.S. Intermediary Distribution 2021: Leveraging Data to
Navigate Change, Exhibit 2.02, Cerulli Associates, September 8, 2021.

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Read more about Schwab's privacy policy.

The above mentioned firms and their employees are not affiliated with or
employees of Schwab unless otherwise noted. Mention should not be construed as a
recommendation, endorsement of, or sponsorship by Schwab. The views expressed
are those of the third party and are provided for information purposes only.
Experiences expressed are no guarantee of future performance or success and may
not be representative of you or your experience.

Schwab does not provide investment planning, legal, regulatory, tax, or
compliance advice. Consult professionals in these fields to address your
specific circumstances.

Third party trademarks are the property of their respective owners and used with
permission. Third party firms and their employees are not affiliated with or an
employee of Schwab.

Schwab Advisor Services™ provides custody, trading, and the support services of
Charles Schwab & Co., Inc. ("Schwab"), member SIPC, to independent investment
advisors and Charles Schwab Investment Management, Inc. ("CSIM"). Independent
investment advisors are not owned by, affiliated with, or supervised by Schwab.

© 2024 Charles Schwab & Co., Inc. ("Schwab") All rights reserved. Member SIPC.

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 * Going Independent
   * Overview
   * Understanding the Advantages
   * The Support You Need
   * Choosing the Right Path
   * Tools & Resources
 * Why Schwab
   * Overview
   * Solutions for Your Practice
   * Specialized Services
   * Choosing a Custodian
   * Making the Transition
 * Serving Your Clients
   * Overview
   * Account Management & Trading
   * Financial Solutions
   * Resources for Your Clients
 * Managing Your Business
   * Overview
   * Business Consulting & Education
   * Technology Integration
   * Marketing
   * Talent Management
 * Navigating Risk & Regulations
   * Overview
   * Legislative & Regulatory
   * Compliance Insights
   * Cybersecurity
   * Asset Safety at Schwab
 * Insights & Ideas
   * Overview
   * Perspectives
   * Market & Investment Insights
   * Peer Insights
   * Guiding Principles Series
   * IMPACT

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