Episode #8:  This episode is from video #8 of the Transition To RIA video series where I answer RIA related questions I get from advisors just like you. On today's episode I explain the frequency of regulatory exams you can generally expect to experience as your own Registered Investment Advisor (RIA).

About Host: Brad Wales is the founder of Transition To RIA, where he helps financial advisors to learn and understand everything there is to know about WHY and HOW to transition their practice to the Registered Investment Advisor (RIA) model. Brad has nearly 20 years of industry experience, including direct RIA related roles in Compliance, Finance and Business Development. He has an MBA and has held the 4, 7, 24, 63 & 65 licenses. On his website he has a large catalog of free videos, whitepapers, as well as other resources to help advisors fully understand the RIA model and how it would apply to their unique circumstances.

Website:  TransitionToRIA.com