Join an Existing RIA Timeline

Months until Transition
ExploreContact TD Ameritrade for help6543210-
Choose your path
Consider the benefits of joining an existing firm Tooltip

After using the exploringyourindependence.com tool John contacted a Transistion Consultant to help narrow his search for joining an existing RIA firm.

   
Understand choices for commission-based business selected    
Understand the potential financial impact Tooltip

Through their conversation, John's Transition Consultant helped him identify the products and infrastructure needs that were important to him as a way to pinpoint the type of firm John was looking to join.

   
Structure and Set Up Your BusinessContact TD Ameritrade for help6543210-
Define your business
Begin creating your business plan selected    
Interview potential RIA firms, including their broker-dealer if going hybrid Tooltip

John's Transistion Consultant introduces him to exsiting RIA firms that matched his criteria.

   
Legal and Compliance
Consult legal counsel regarding your current contract and other legal concerns selected    
Finance
Determine client impact personal cash flow needs selected    
Transition Your ClientsContact TD Ameritrade for help6543210-
Implement your business plan
Choose a firm to join   Tooltip

From the group of firms that John was introduced to, and based on his individual interviews with them, John chose the firm that had the best qualitative fit for his needs and business vision.

   
Create a marketing plan or adopt existing   selected    
Prepare press release   selected    
Account Transition
Understand and prepare for the transfer of your accounts   selected  

Access to Affinity Services Program vendors is provided solely as a service to financial advisors using the brokerage, execution and custody services of TD Ameritrade Institutional. These services are offered at a discount directly through the participating vendors. Participating vendors are independent and are not employees or agents of TD Ameritrade. TD Ameritrade does not guarantee nor is it responsible for the quality or accuracy of any vendor's product or service. In no instance should the listing of a vendor be construed as a recommendation or endorsement by TD Ameritrade. Furthermore, TD Ameritrade does not recommend or endorse any security described by any vendor.

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