“You won’t be able to use Alts (alternative investments) if you transition to the RIA model.”

“Ok, maybe that’s no longer the case….but you won’t have access to as many investment options as we have in the large broker/dealer world.”

“Well….maybe that’s no longer true either, but our large scale gets us better availability/pricing than the RIA space.”

“Damn it…..that’s no longer true either. You RIA folks now often have better options, pricing, etc. than we do!”

This progression is how using Alts in the RIA space has generally played out. While advisors at large wirehouse type firms once had the advantage when it comes to Alts, in most cases it is now the opposite.

In this episode (#129) of the Transition To RIA question & answer series, I explain how Alts are used in the RIA model and why it is often to your advantage.

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/can-i-use-alternative-investments-as-an-ria/

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.

A benefit of transitioning your practice to the RIA model is gaining access to a wider array of investment solutions, technology offerings, and service providers.

But with some variables of your practice, you might desire to maintain a status quo.

Advisors that currently outsource their asset management to 3rd party models or managers often prefer to maintain similar solutions upon transitioning.

In this episode (#128) of the Transition To RIA question and answer series, I explain the variables and considerations involved with maintaining your existing approach to managing assets.

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/can-i-keep-using-the-same-investment-models-or-smas-that-im-using-now-if-i-transition-to-the-ria-model/

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.

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.