Exploring Independence as a RIA – a key benefits, economic potential and the role of the custodian
Charles Schwab & Co
Description
Intended for institutional investors.
Third-party firms and representatives are not affiliated with or employed by Charles Schwab & Co., Inc., and mention
of them should not be construed as a recommendation, endorsement, or sponsorship by Schwab.
Experiences reflected are not a guarantee of future performance or success and may not be representative
of your experience.
The RIA Benchmarking Study from Charles Schwab® comprises self-reported data from advisory firms that custody their
assets with Charles Schwab. All data is self-reported by study participants and is not verified or validated. Participant
firms represent various sizes and business models. They are categorized into 12 peer groups—6 wealth manager groups
and 6 money manager groups, by AUM size.
Each participating advisory firm submitted only one set of responses. The 2013 RIA Benchmarking Study was fielded February and March of 2013. The study contains self-reported data from 1,025 firms.
The study’s question set is available upon request. The Economic Discovery Tool (Tool) is intended solely for use by investment professionals. The Tool simulates the pro forma financial results of various hypothetical scenarios for establishing, operating, joining, and/or selling an investment advisory practice or firm and compares those simulated outcomes to various alternatives. The scenarios and alternatives covered are not exhaustive and may not be representative of those you actually encounter.
Moreover, the simulated pro forma results are materially dependent on various assumptions and inputs, some of which are made and specified by you and some of which are static. These assumptions and inputs may not reflect actual circumstances, and thus the Tool is inherently limited and intended for general informational purposes only. The simulated pro forma results do not reflect, and are not guarantees of, actual or future results.
Your actual results may be materially different from those simulated. Schwab makes no warranty of the accuracy or completeness of the Tool or the simulated pro forma results and shall have no liability for your use of the Tool. The Tool is not intended to provide financial, investment, legal, tax, or regulatory compliance advice. You are urged to consult your own professional advisors. Schwab OpenView Integrated Office® and Schwab OpenView Gateway™ are products of Schwab Performance Technologies® (SPT).
Schwab Advisor Services™ includes the custody, trading, and support services of Charles Schwab & Co., Inc. (Schwab), a registered broker-dealer and member SIPC. SPT provides technology solutions to independent investment advisors, while Schwab provides them and their clients with custody, trading, and related support services. SPT and Schwab are separate companies affiliated as subsidiaries of The Charles Schwab Corporation, but their products and services are independent from each other.
SPT’s intelligent integration solutions integrate data about accounts custodied at Schwab. Schwab Advisor Center® is a website of Schwab for the exclusive use of its independent investment advisor clients. ©2014 Charles Schwab & Co., Inc. All rights reserved.
Member SIPC. AHA (0314-1316) MKT75421-01 (03/14) .
Each participating advisory firm submitted only one set of responses. The 2013 RIA Benchmarking Study was fielded February and March of 2013. The study contains self-reported data from 1,025 firms.
The study’s question set is available upon request. The Economic Discovery Tool (Tool) is intended solely for use by investment professionals. The Tool simulates the pro forma financial results of various hypothetical scenarios for establishing, operating, joining, and/or selling an investment advisory practice or firm and compares those simulated outcomes to various alternatives. The scenarios and alternatives covered are not exhaustive and may not be representative of those you actually encounter.
Moreover, the simulated pro forma results are materially dependent on various assumptions and inputs, some of which are made and specified by you and some of which are static. These assumptions and inputs may not reflect actual circumstances, and thus the Tool is inherently limited and intended for general informational purposes only. The simulated pro forma results do not reflect, and are not guarantees of, actual or future results.
Your actual results may be materially different from those simulated. Schwab makes no warranty of the accuracy or completeness of the Tool or the simulated pro forma results and shall have no liability for your use of the Tool. The Tool is not intended to provide financial, investment, legal, tax, or regulatory compliance advice. You are urged to consult your own professional advisors. Schwab OpenView Integrated Office® and Schwab OpenView Gateway™ are products of Schwab Performance Technologies® (SPT).
Schwab Advisor Services™ includes the custody, trading, and support services of Charles Schwab & Co., Inc. (Schwab), a registered broker-dealer and member SIPC. SPT provides technology solutions to independent investment advisors, while Schwab provides them and their clients with custody, trading, and related support services. SPT and Schwab are separate companies affiliated as subsidiaries of The Charles Schwab Corporation, but their products and services are independent from each other.
SPT’s intelligent integration solutions integrate data about accounts custodied at Schwab. Schwab Advisor Center® is a website of Schwab for the exclusive use of its independent investment advisor clients. ©2014 Charles Schwab & Co., Inc. All rights reserved.
Member SIPC. AHA (0314-1316) MKT75421-01 (03/14) .
