Q127 - What Is The Difference Between An RIA And A Broker-Dealer?
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Q127 - What Is The Difference Between An RIA And A Broker-Dealer?
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Participants in our industry often talk about moving to another broker/dealer.
But when they say “broker/dealer” they are also often referring to an RIA.
Or conversely, you’ll hear voices discussing joining or starting an RIA.
Yet that too, could also potentially involve a broker/dealer as well.
Confused yet?
In this episode (#127) of the Transition To RIA question and answer series I explain the difference in these two structures and how the terminology is used properly.
Come take a listen!
P.S. Prefer video? You can find this entire series in video format on Youtube. Search for the TRANSITION TO RIA channel.
Show notes: https://TransitionToRIA.com/what-is-the-difference-between-an-ria-and-a-broker-dealer/
About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has 20+ years of industry experience, including direct RIA related roles in Compliance, Finance and Business Development. He has an MBA and has held the 4, 7, 24, 63 & 65 licenses. The Transition To RIA website (TransitionToRIA.com) has a large catalog of free videos, articles, whitepapers, as well as other resources to help advisors understand the RIA model and how it would apply to their unique circumstances.