Making the change from a traditional broker-dealer model to full independence with the registered investment advisor model introduces a number of considerations. The registered investment advisor (RIA) model can not only offer you greater choice and flexibility, but also greater responsibility. Learn more about the RIA model, how it compares to a captive-hybrid or bank/brokerage environment and get an overview on the role of the RIA custodian. This report is designed to help you find out for yourself what a move to independence can involve?and learn from those who made the change.
Resource TypeWhite Paper
Publish DateJul 6, 2012