Advisor Services
Business setup
Joining an existing RIA firm
• Office setup—lease-finding guidance, fully furnished
If you want more control over important aspects of your
business—but not sole responsibility—you might consider
joining an existing RIA firm. Schwab can introduce you
to RIAs looking to grow their firms, as well as third-party
experts to serve as legal counsel or assist with analyzing
the economics of joining a firm.
office space, furniture rental and space planning, and
discounts on computers, copiers and office supplies
• Errors & omissions insurance
• Healthcare and benefits via comprehensive HR
outsourcing platform or à la carte insurance choices
• Retirement plan options from Schwab
Marketing
• Customized marketing packages - logo, business
cards, letters, brochure and online presence offered
by marketing firms.
Extra help with your move
If you have a large practice, you may want to
outsource the planning and implementation
of your move. Schwab can introduce you to
Transferring client assets
A pivotal step, client assets/account transfer must be
orchestrated with exacting precision. We know that
downtime directly impacts your ability to serve clients—and
that accurate and timely account conversion is one of the
first, key steps for building client trust.
The sole focus of our
Advisor Conversion Team is to ensure your assets transfer
quickly and seamlessly to Schwab. With an average tenure
of 12 years at Schwab, our expert team members have
helped hundreds of advisors transfer their client accounts.
Our team has developed a highly efficient and personalized
process, including oversight of completing time-consuming
new account paperwork and training your staff on the
Schwab platform.
third-party consultants specializing in helping
advisors switch to the RIA model to handle
essential details, including:
• Strategic business plan development
• P&L models
• ue diligence in locating real estate,
D
employee benefit programs, and more
• IT/technology vendor resources
Build your practice
Schwab continues to work with you and your team postlaunch, supporting your operations and growth. You’ll
benefit from access to Schwab’s industry-leading platform,
the know-how of our dedicated service team, tips on
efficient workflow and processes, networking and practice
management events, as well as a wealth of Schwab and
third-party resources.
All accessible to you, day one of
your new operation.
For more
information…
The mention of the above firms are not, and should not be construed as a recommendation, endorsement or
sponsorship by Schwab or a guarantee that services provided by these firms are appropriate for your particular needs.
These firms are not affiliated with Charles Schwab & Co. Inc. Schwab Performance Technologies (“SPT”), like Schwab,
is a subsidiary of The Charles Schwab Corporation.
Schwab provides brokerage services, while
SPT licenses software and provides related technology products and services. PortfolioServices™ is a product of SPT.
©2011 Charles Schwab & Co., Inc. (“Schwab”).
All rights reserved. Member SIPC. Schwab Advisor Services™ (formerly
Schwab Institutional®) serves independent investment advisors and includes the custody, trading and support services
of Schwab.
Independent investment advisors are not owned, affiliated with or supervised by Schwab. (0111-0496)
SLS58642-00 (02/11)
Contact your
Schwab representative
or call 1-877-314-7821.
.