Weigh the legal and regulatory considerations and requirements around going independent as an RIA
Charles Schwab & Co
Description
This report was developed by MarketCounsel and Schwab and is intended solely for investment professionals. The report is intended
for general informational purposes only and is not intended to provide financial, investment, regulatory compliance, legal, or tax
advice. Any guidance taken from the report is not tailored to the particular circumstances of any reader of the report or their firm.
The report relies, in part, on information provided by MarketCounsel’s and Schwab’s research. That information was not independently
verified, and Schwab makes no representations about the accuracy of the information in the report.
In addition, the experience of the individuals and firms interviewed for this report may not be representative of the experience of others; their experience is not a guarantee of future performance or success. Your experience will vary. Any mention in the report of products, services, or processes created or offered by anyone other than Schwab, including the services of MarketCounsel, is not and should not be construed as a recommendation, endorsement, or sponsorship by Schwab. You must decide whether to purchase these products and services, implement these processes, and evaluate their appropriateness for you or your firm.
This report is not intended for use by investors in evaluating or selecting an investment advisor or otherwise. This report is not a recommendation or endorsement of, referral to, or solicitation on behalf of any investment advisor, whether or not named, quoted, or described in the report. Investment advisory firms are independent of and not affiliated with Schwab, and their employees and agents, including individuals named in the report, are not employees, agents, or representatives of Schwab. Prepared in collaboration with MarketCounsel. MarketCounsel, LLC is not affiliated or employed by Charles Schwab & Co., Inc. For institutional use only.
Meant for educational purposes. Schwab does not provide regulatory, legal, tax, or compliance advice. Consult professionals in these fields to address your specific circumstance. ©2014 Charles Schwab & Co., Inc. (“Schwab”).
Member SIPC. All rights reserved. Schwab Advisor Services™ includes the custody, trading, and support services of Schwab.
Independent investment advisors are not owned by, affiliated with, or supervised by Schwab. AHA (0914-5481) MKT65490-01 (08/14) .
In addition, the experience of the individuals and firms interviewed for this report may not be representative of the experience of others; their experience is not a guarantee of future performance or success. Your experience will vary. Any mention in the report of products, services, or processes created or offered by anyone other than Schwab, including the services of MarketCounsel, is not and should not be construed as a recommendation, endorsement, or sponsorship by Schwab. You must decide whether to purchase these products and services, implement these processes, and evaluate their appropriateness for you or your firm.
This report is not intended for use by investors in evaluating or selecting an investment advisor or otherwise. This report is not a recommendation or endorsement of, referral to, or solicitation on behalf of any investment advisor, whether or not named, quoted, or described in the report. Investment advisory firms are independent of and not affiliated with Schwab, and their employees and agents, including individuals named in the report, are not employees, agents, or representatives of Schwab. Prepared in collaboration with MarketCounsel. MarketCounsel, LLC is not affiliated or employed by Charles Schwab & Co., Inc. For institutional use only.
Meant for educational purposes. Schwab does not provide regulatory, legal, tax, or compliance advice. Consult professionals in these fields to address your specific circumstance. ©2014 Charles Schwab & Co., Inc. (“Schwab”).
Member SIPC. All rights reserved. Schwab Advisor Services™ includes the custody, trading, and support services of Schwab.
Independent investment advisors are not owned by, affiliated with, or supervised by Schwab. AHA (0914-5481) MKT65490-01 (08/14) .
