The Path to Independence: Navigating the Four Key Dimensions for RIAs

Time: 2pm ET | 11am PT

CFP & Investments & Wealth Institute CE Credit: Approved

Sponsored by:

Undertaking major shifts in your business, such as a journey to the independent Registered Investment Advisor (RIA) model, can be intimidating. But it can also offer investment advisors new opportunities, resources, and support to serve the evolving needs of clients.

Today, the RIA channel has become more than a place to break free from traditional advice models. It’s a top destination for advisors in search of a better way of doing business—one where advisors and their clients can thrive together.

Join this webcast and you’ll:

● Understand the advantages and benefits of the RIA channel
● Hear why successful advisors chose the independent RIA channel, determined which RIA model was right for them, and the steps they took to get there
● Discover a framework used to help uncover the RIA model that is best suited to your specific needs

Register Now
Can't attend? Register here for an on-demand recording after the webcast.

Featured Speakers:

Scott Ferguson | Think Advisor Contributor | ALM

Scott Ferguson is the Director of Custom and Marketing Content for Think Advisor's parent company, ALM. Before joining ALM in 2021, Ferguson held numerous editorial positions at ISMG, Informa, UBM and Ziff Davis Enterprise. He started his career as staff writer at both the Herald News and the Asbury Park Press.

Steve Magistad, Moderator | Managing Director of Business Development, | Schwab Advisor Services

As a Managing Director for Schwab Advisor Services, Steve leads a team of Business Development Officers who are custody sales experts. His team focuses on consultative engagements with advisors considering independence as an RIA, as well as family offices,enterprise firms and trust companies. Steve has been with Schwab for fourteen years and is a 35-year financial industry veteran, with experience spanning the insurance, bank, CPA and independent broker/dealer channels.

Scott Cohen | Director of Business Start Up Consulting | Schwab Advisor Services

Scott leads a team of dedicated Business Consultants who help guide advisors on their business strategy for launching an independent RIA firm. Through in-depth, one-on-one consulting, the Business Start Up consultants assist advisors with firm design, business planning, marketing and communications, third-party provider introductions, and launch execution. Scott has 25 years of experience in financial services, starting his career as a municipal bond specialist. For 14 years at Ameriprise Financial, he held a variety of leadership roles in practice management, advisor recruitment and transitions.

David Mauro, CFP® | President | Mauro Capital Management

Dave Mauro received his license two weeks before the crash of 1987. He survived the next year by avoiding his branch manager at all costs. In the 37 years since he has worked at Merrill Lynch (20 years), UBS (14 years) and now operates as an independent RIA. Through the years Dave has run branch offices and been a member of the training faculty, all the while managing his own book of business. His firm, Mauro Capital Management, manages 200MM in assets. Dave is a published author, adventure seeker, and frequent consumer of emergency room services.

Joshua P. DeLoach, CFP®, CSRIC™ | Chief Strategy Officer / Partner | Nilsine Partners

Josh is currently Chief Strategy Officer | Partner of Nilsine Partners. He has been in the financial industry since 2011. He was previously an Assistant Vice President at Merrill Lynch until founding Nilsine Partners in 2021. Josh earned a BSBA degree from Nichols College with a specialization in Finance & Economics. Josh is a CERTIFIED FINANCIAL PLANNER™ professional, designation awarded by the Certified Financial Planner Board of Standards.

Schwab Advisor Services™ provides custody, trading, and the support services of Charles Schwab & Co., Inc. (“Schwab”), member SIPC, to independent investment advisors and Charles Schwab Investment Management, Inc. (“CSIM”).

The above-mentioned firms and their employees are not affiliated with or employees of Schwab unless otherwise noted. Their mention should not be construed as a recommendation by, endorsement of, or sponsorship by Schwab.

The views expressed are those of the third party and are provided for informational purposes only. Experiences expressed are no guarantee of future performance or success and may not be representative of you or your experience.

Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.