Latest / Transition To RIA Podcast
Q41 - How Do I Navigate The Legal Considerations Of Breaking Away To Transition To The RIA Model?
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 skinny
The skinny isn't ready yet — notes appear once the transcript is processed.