How To Go Independent

An objective source to learn about independent business models

HTGI 035: Should I set up my own RIA and/or broker-dealer?

PodcastSean KernanComment


If you have been in an employee firm your whole career, RIA and B/D may be familiar but still somewhat foreign concepts to you. We briefly describe what each is and answer a listener's question about whether or not he setup his own.

In this episode you will learn....

  • How a Broker/Dealer setup differs from an RIA setup
  • What type of setup you'll need to run your business as an independent

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