Resources and Tools

• RIA Start-Up Guide
• RIA Start-Up Guide
• Making the Move to an RIA: Research Brief
• Making the Move to an RIA: Research Brief

• Roadmap Planning Tool for RIAs
• Roadmap Planning Tool for RIAs

RIA Start-Up Guide We've created a Start-Up Guide for you to use throughout the process of launching and building your business. It may be particularly helpful during the first 6-12 months of start up. Inside you'll find worksheets and practical guidance.

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Making the Move to an RIA: Research Brief What does it take to be a successful Registered Investment Advisor (RIA)? What challenges lie ahead? What steps should you take to get prepared if you are planning to make the move? To address these questions, we conducted interviews with principals at 30 newly formed RIAs to gain insights into some of the key issues they faced as they transitioned their businesses, and the lessons they learned along the way. On average, these individuals had 14 years of investment advisory experience, and they came from a range of different firms — including wirehouses, regionals, independents, and insurance and bank broker/dealers. The report summarizes the findings from the research and provides useful information for those who have made the decision to create their own practice.

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Roadmap Planning Tool for RIAs When you make the decision to become a Registered Investment Advisor (RIA) you are taking the first step toward establishing your own business. Successfully setting up your own practice requires careful planning and attention to detail. There are a number of things you may need to consider in the planning process. The Roadmap Planning Tool can help guide you through some of the critical elements, and develop your own personal checklist and timelines to support a successful transition. Let us help you get started. Image for illustrative purposes only. + Enlarge View Features Include: Financial benchmarks from Moss Adams1 to help you compare your revenue and expense projections to RIA practices of a similar size. Valuable information on setting up your firm, from operating structure to compliance, insurance, technology, marketing, and opening accounts. Detailed guidance for each of the key steps in the process. An interactive calendar to view required tasks, timeframes, and progress to date. Helpful tips from industry experts and others who have already made the move to an RIA, as well as links to valuable research papers on a host of topics related to establishing your own practice. 1Moss Adams is a third-party provider and not affiliated with Fidelity Investments.

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