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Get More Freedom as an RIA

As an RIA supported by Schwab, you have the power to conduct business your way—and the freedom to take charge of critical decisions affecting your firm and running your business.


Invest Only in the Technology You Want
Gain the flexibility to choose the technology that’s right for you—from turnkey solutions to the ability to leverage best-of-breed solutions in client relationship management (CRM) and portfolio accounting and management.

Whether your business needs requires technology from Schwab, a third party, or both, you’ll have access to the innovative resources you need to support your office.

  • Learn more about Schwab Intelligent Integration™, powerful technology  integration designed around your CRM that will give you a comprehensive view of your client relationships.
  • Check out our demo of the Schwab Advisor Services™ online custody and trading platform, which can help simplify how you do business with us and your clients.
Our technology is based on input from RIA firms, so you’ll have technology that’s flexible and powerful enough to handle your business needs. Schwab has the people and experience to help advisors get more from their technology investments. It’s a complete experience, powered by a dedicated team of professionals with the longest tenure in financial services. We not only provide information and support for the technology but also offer the critical workflows and best practices to help you realize the benefits and meet your goals.

Position Yourself for the Future
As a fully independent RIA, you have the potential to keep more of what you earn—while building a better foundation for the future of your firm.

Conduct business on your terms as an independent RIA. Keep up to 100% of your revenue and lay the foundation for a more seamless, flexible, and potentially lucrative transition to the next step.
 
You’ll have more control over expenses and you can avoid miscellaneous account fees—passing that savings on to your clients. Costs are transparent and clearly defined, so that you know what you’re earning and your clients understand what they’re paying.


Keep Your Brokerage Business
It’s not all or nothing—as an RIA, you can have the best of both worlds.

There’s no need to abandon your traditional brokerage business when you become an RIA. With the hybrid model, you can have the freedom that comes with being an RIA and the flexibility to maintain your traditional brokerage business. Schwab works with leading independent broker-dealers (IBDs) so you can offer both types of services.

Discover more about the hybrid model:


Choose the Products and Services That Are Right for Your Clients
Build customized portfolios from a wide range of investment products. As an RIA, you are free to build portfolios as you and your clients see fit.

With Schwab, you can have open access to the wide-ranging products and resources you need. You can tap into an expansive array of mutual funds, exchange traded funds, managed account options and alternative investments. Banking and lending products are also available through Schwab Bank.


Managing Compliance and Legal Is Easier Than You May Think
With Schwab, you’ll have access to resources and expertise that can help you navigate the regulatory landscape and take charge of your responsibilities. 
As an RIA, taking charge of your legal responsibilities is easier than you may think. You can choose to conduct compliance in-house or turn to a third party for help with everything from establishing your own RIA to managing ongoing compliance.

  • Read this whitepaper to learn more about the legal and regulatory considerations of the RIA model




Brokerage Products: Not FDIC Insured • No Bank Guarantee • May Lose Value

Charles Schwab & Co., Inc. and Charles Schwab Bank are separate but affiliated companies and subsidiaries of The Charles Schwab Corporation. Brokerage products and services offered by Charles Schwab & Co., Inc., Member SIPC.

Experiences reflected are not a guarantee of future performance or success and may not be representative of your experience.

Schwab Intelligent Integration is a set of products and services being developed and currently intended to be offered by Performance Technologies, Inc. ("PTI"), a subsidiary of The Charles Schwab Corporation and an affiliate of Schwab. Schwab Advisor Services™ serves independent investment advisory firms and includes the custody, trading, and support services provided by Schwab, a broker-dealer, and the software and related technology solutions, including Schwab Intelligent Integration and Schwab Performance Technologies®, provided by PTI. Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.
 
©2011 Charles Schwab & Co., Inc. ("Schwab"). All rights reserved. Member SIPC. Schwab Advisor Services serves independent investment advisors and includes the custody, trading, and support services of Schwab. Independent investment advisors are not owned by, affiliated with, or supervised by Schwab. (0911-5378)