The RIA Roadmap: Your essential guide to making the transition

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The freedom to design your own future doesn’t have to be a dream. As an independent Registered Investment Advisor (RIA), you can build your vision and serve clients—your way. You just need someone to help you get there. That’s why Schwab Advisor Services™ brought together more than 30 years of industry-leading expertise and insight in The RIA Roadmap. This guide will help to explain the key steps to take to start your journey to independence.

In this guide, you’ll find guidance 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
The Charles Schwab Corporation (Schwab), provides a full range of securities brokerage, banking, money management and financial advisory services through its operating subsidiaries.
Schwab does not provide legal or regulatory advice. Advisors should consult legal and compliance advisors to address specific circumstances.
OnWallStreet / Financial Planning is not affiliated with The Charles Schwab Corporation.
OnWallStreet / Financial Planning will share your information with Sponsor, Charles Schwab & Co., Inc. (“Schwab”). Schwab may use it to contact you and to send you additional insights from Schwab Advisor Services™. Read about privacy at Schwab at http://www.schwab.com/privacy. TRG (0518-8FW9) (4/18)