Should You Go RIA? With Chuck Failla

Advisor Talk with Frank LaRosa · Dec 11, 2025 · 41m

Together, they explore practical decision points advisors should consider:

• The real implications of the $100M AUM threshold and the trade-offs between state and SEC registration

• When it may make sense to stay with an independent broker-dealer - especially if more than 20% of your revenue is still commission-based

• Why some RIAs are now “breaking away again” and rolling into larger platforms or supported-independence models

• The emotional and operational realities of dropping a Series 7, and how that can change your flexibility with media, branding, and marketing

Chuck also opens up…