Q134 - What Are The Biggest Ways To Screw Up A Transition To The RIA Model?

Transition To RIA Podcast · Oct 16, 2025 · 20m

In this episode (#134) of the Transition To RIA question & answer series we expand upon five critical ways advisors can make mistakes when transitioning their practices to the RIA model, and how to avoid them:

Not thoroughly researching the RIA model to understand if it is a fit for your practice;

Not thoroughly researching your options of how to transition into it;

Misjudging your client loyalty;

Not getting proper legal advice on how to navigate the departure from your current firm;

Not following a time-tested approach on how to navigate a transition successfully.

Come take a listen!

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