Transitioning to the RIA model?
Learn How to Navigate the Legal and Regulatory Landscape.


Our webcast replay will guide you through the key stages of your legal and regulatory responsibilities so you understand what it takes to make a smooth transition to the RIA model.

Navigate the Legal Landscape of the RIA model
  • LEARN about the legal and regulatory considerations of the RIA model
  • RECEIVE insight from an independent, third-party legal representative
  • HEAR about proven legal and regulatory procedures used by other advisors
  • DISCOVER how Schwab can provide helpful resources and expertise
To find out more about transitioning to the RIA model, please register below:

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This webcast is produced by Charles Schwab & Co., Inc. and is intended solely for investment professionals. The presentation is for general informational purposes only and is not intended to provide specific financial, compliance, regulatory or legal advice. For further information, contact professionals in their respective fields for assistance. Third party speakers and their firms are not affiliated with or an employee of Schwab.

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