Becoming an RIA
We know what
you need to know.
Fidelity Investments has helped hundreds of RIAs go
independent. We know what tools you need, what challenges
you may encounter, and the decisions you may need to make.
independent. We know what tools you need, what challenges
you may encounter, and the decisions you may need to make.
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Hear from a
broker who made
the move to an RIA
broker who made
the move to an RIA
Marty Bicknell
CEO, Mariner Wealth Advisors
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Marty Bicknell
CEO, Mariner Wealth Advisors
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The Business Today
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Making the Move
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The Rewards
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Thinking of
Becoming an RIA?
Becoming an RIA?
Here's what you can expect
when building your own business.
when building your own business.
View now
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Plan Ahead
Rely on Fidelity's experience and knowledge
to help guide you during and after your transition.
to help guide you during and after your transition.
Rollover the timeframes below to see what you may need to consider when making the move to an RIA.
Before You Open Your Firm
Stage 1
Make the commitment
Make the commitment
Your Action Items
Determine your business model, check financials, create a business plan and explore transition issues.
Fidelity Resources That Can Help:
RIA Startup Guide
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Making the Move to an RIA
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Roadmap Planning Tool
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Stage 2
Define your
business entity
business entity
Define your business entity
Your Action Items
Manage registrations and filings, understand compliance issues, consult with legal counsel, and secure liability insurance.
Fidelity Resources That Can Help:
RIA Startup Guide
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Roadmap Planning Tool
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Compliance, Legal and Insurance Support
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Stage 3
Prepare your
new organization
new organization
Prepare your new organization
Your Action Items
Set up your office, develop your brand, establish the appropriate technology infrastructure and ensure access to a range of investment products and services.
Fidelity Resources That Can Help:
Office and Firm Management Solutions
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Marketing Support
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Fidelity Technology Solutions
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Fidelity Investment Solutions
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After You Open Your Doors
Stage 4
Start to manage and
grow your practice
grow your practice
Start to manage and grow your practice
Your Ongoing Practice
Focus on your business by networking, researching market trends and securing tools that can help you run your business more effectively.
Fidelity Resources That Can Help:
Business Development Strategies
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Client Insight Program
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Business Building Tools
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