The RIA Roadmap: Key Steps to Going Independent

Taking the leap to start your own Registered Investment Advisor ("RIA") firm gives you the opportunity to build your business and serve your clients, your way -- but you're not alone. Custodians and platform providers are ready to help you reach your full potential. Schwab Advisor Services™ has brought together more than 30 years of industry-leading expertise and insight in The RIA Roadmap. Download this guide to start your journey to independence, with discussions on:

  • Defining your business strategy
  • Preparing for legal and compliance issues
  • Connecting with resources to help set up your office
  • Converting your accounts
  • Strengthening your practice


Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Charles Schwab & Co., Inc. (Schwab), member SIPC ( Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.

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