Thinking about starting an RIA?

Beware of industry voices bent on scaring you out of it.

Whether due to naivety or because they’re agenda driven to keep you from making a change, there is no shortage of people expressing falsehoods about the RIA model.

The resulting misconceptions often relate to managing compliance as your own RIA.

In this episode of the Transition To RIA question & answer series, I debunk several such misconceptions.

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-do-advisors-fear-about-compliance-with-the-ria-model/

About Host: Brad Wales is the founder of Transition To RIA, 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.