Starting or Joining an RIA: The 3 Types of Transitions
Written by: Javi Otero Starting or Joining an RIA: The 3 Types of Transitions If you’re a financial advisor considering a transition, the first (and arguably most critical) step is…
LPL Acquiring Commonwealth: Opinions and Questions
Written by: Javi Otero & Grier Rubeling Javi Otero Grier Rubeling LPL Acquiring Commonwealth: Opinions & Questions In late March (2025), LPL Financial announced a deal to acquire Commonwealth Financial…
You Started an RIA… Now What?
Written by: Javi Otero, Transition Consultant, Advisor Transition Services You Started an RIA... Now What? You’ve done it. You started an RIA. The transition is officially over – clients followed…
RIA Custodian Comparison: Raymond James vs Schwab vs Fidelity vs Pershing
Written by: Grier Rubeling, Owner/Operator, Advisor Transition ServicesThis article is a follow up and revamped version of the original, "Raymond James vs Charles Schwab: An RIA Model Comparison", published in 2021. RIA…
The Stress of Transitions – Managing Your Team
Written by: Javi Otero Transitions aren’t just about custodial paperwork and client outreach. They’re about teamwork. If there’s one thing that many advisors tend to underestimate during a move, it’s…
Looking Ahead in Advisor Transitions: Predicting the Next Big Shift
Written by: Javi Otero Change is inevitable in the world of wealth management, and advisor transitions are one of the major driving forces behind industry growth and evolution. Advisors are…
The Hidden Costs of Transitioning: What Every Advisor Should Consider
Written by: Javi Otero The Hidden Costs of Transitioning: What Every Advisor Should Consider Transitioning from one firm to another — or launching your own RIA — can be an…
How to Communicate With Clients During a Transition
Transitions are disruptive. There’s no way around it. The amount of preparation that goes into the process can be overwhelming, especially if you’re starting an RIA. Some advisors plan for…
The Top 5 Action Steps to Transition Effectively in a COVID World
We live in a COVID world right now. Things are in a constant state of flux and society is changing rapidly. Even the financial services industry, which is notoriously “behind…
5 Common Transition Pitfalls and How to Avoid Them
Deciding to switch firms can be one of the most rewarding choices an advisor can make in his or her career. However, the decision comes with a lot of responsibility.…