Schwab Advisor Services, which provides custodial services to nearly 7,000 independent RIA firms, announced a white paper and webcast focusing on the legal and regulatory considerations of going independent.
Legal and Regulatory Considerations: Navigating the Transition to Independence is available in conjunction with a webcast hosted by Schwab Advisor Services today at 1 p.m. PT.
Schwab Advisor Services also announced the launch of dedicated website content for advisors currently at independent broker-dealers (IBDs), providing information for evaluating a fully independent or hybrid practice model, which allows RIAs to conduct a combination of traditional brokerage business and fee-based advisory business.
The site will host podcasts and webcasts tailored for the needs of advisors at IBDs. Three video testimonials walk viewers through first-hand accounts of transitions told by advisors who worked previously at IBDs, offering insight into how they made the transition.