Featured White Papers from Schwab Advisor Services

Schwab Advisor Services
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Advisor Case Studies: Putting People First

November 22, 2022

Today, Stasia Washington is recognized as one of the “Most Influential Wealth Managers” by Los Angeles Business Journal. Her story began in retail banking, but her determined mindset and dream to be someone people trust with their financial futures drove her to make the leap to independence. When she joined an Registered Investment Advisory (RIA) firm in West Hollywood, she got the freedom to put her clients first, always. And with support from Schwab Advisor Services, her firm has built an extremely successful practice that spans the country.

“It goes back to relationships. I really missed working with clients. I’m in the business of solving problems, and I missed being a go-to person.”

Stasia Washington, Managing Director & Senior Vice President, First Foundation Advisors

To read more of Stasia’s advice on everything from choosing a custodian to building client relationships, download the case study below.

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White Paper: Creating Your Own Formula for the Modern Office

March 31, 2022

The investment advisory industry took a leap forward when, decades ago, the first advisors broke away to forge their own Registered Investment Advisory (RIA) firms. Today, the ability to act with complete freedom and make decisions in the best interest of one’s clients is a defining feature of the independent model. And it’s giving rise to a new generation of firms called “modern offices.” They’re leveraging technology, reimagined workspaces, and more to serve clients better, anticipate their needs, save time, and hyper-personalize services.

How do you begin to build your modern office? Start by studying how Schwab Advisor Services has helped others do just that.

Get a look at the modern office and what it takes to build one, including:

  • How firms select and adopt state-of-the-art technologies to simplify their workdays
  • Which new models for work suit advisors’ shifting needs and preferences
  • Why and how firms are now prioritizing company culture
  • Practical examples of firms upgrading client service models to gain an edge

To read more about solving for the future of work through the independent RIA model, follow the link below.

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Advisor Case Study: Finding The Right Custodian

March 03, 2022

Tyler Boon had been running a successful independent firm since 2018. So why did he decide to make a big change in the middle of the pandemic? It started with the realization that he needed a more tech-forward partner – one that shares his passion for putting clients first – to give his clients the highest level of support in this new environment. He took a bold leap, and now his clients and team are benefitting from Schwab’s digital tools and expert guidance.

Could making a change bring new opportunities to you and your clients? There has never been a better time to find out. At Schwab Advisor Services, we’re dedicated to helping advisors like you build your business your way.

Get Tyler’s tips for assessing a custodian’s culture and offerings, including:

  • How to recognize forks in the road, and what to do when you come to one
  • How to make the switch, even in turbulent times
  • How self-serve tech provides unexpected benefits
  • How to leverage the expertise of your custodian

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Schwab Tech Smarts, Insight #1

March 01, 2022

The COVID-19 crisis has kept our industry on its toes, pushing firms and clients to find new ways to communicate and collaborate in spite of new difficulties. If anything, it has underscored how important it is to use technology to your benefit.

This case study covers how advisors like Mike McCann have used technology to automate routine tasks, stay connected with clients and colleagues, and ensure they provide responsive service for every client. His firm, Perspective Financial Services, has used technology to power growth in the face of these challenges – growth for both their clients and their firm.

In reading Mike’s story and his advice, you too can learn to apply these technology tools to your own practice and be better prepared to take on the unexpected.

We’ll cover powerful and practical tech insights and guidance, including:

  • Ways technology can help you anticipate client needs and deepen relationships
  • How technology can make firms more agile and secure
  • Advice based on real-world success

Download this case study to learn how your firm can power a better client experience.

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Advisor Case Study Series: Insight #1

March 01, 2022

Brad Goodwin’s transition to independence isn’t just a great story to tell, it’s a case study in overcoming fears. He made the leap of faith in one of the most turbulent times possible – and it couldn’t have paid off better for his clients and his firm, San Luis Wealth Advisors. Today, he says he has the control and flexibility to choose the technology and software that will streamline his business, and that his only regret is not making the switch sooner.*

Transitioning business models can be a daunting idea. Doing it in the middle of uncertain times only makes it more intimidating. That’s where Schwab’s Advisor Services team can help. Our goal is to ensure everyone comes out on the other side better equipped for the future.

Brad’s story covers key findings about going independent in today’s world, including:

  • What is the tipping point, and whether you should wait until then to make the switch
  • How turbulent times could set you up for a successful transition, not a tough climb
  • What life is like on the other side of independence
  • His advice on why you shouldn’t wait to call Schwab

To read more about Brad’s story and hear his advice on why you should look forward to – not fear – transitioning to the independent RIA model, follow the link below.

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Choosing Your Custodian

March 01, 2022

There’s no denying that the Registered Investment Advisor (RIA) model brings more freedom and control to those who pursue it. But did you know that choosing the right custodian can make an even greater impact on your future? Schwab Advisor Services™ goes far beyond the basics, with in-depth assistance to help you choose the business model and solutions that are best for you – and continues to support you for the long haul.

Our white paper can help you decide what’s important to consider when choosing a custodian. We’ll go over various topics, including:

  • Four essential steps to success
  • Different services a custodian can offer
  • The value of a benchmark study

Download this white paper to see how the right custodian can impact your business.

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Charting Your Own Course

March 01, 2022

Why are more and more advisors choosing independence? The answer is simple: The Registered Investment Advisor (RIA) model has become more than a place to break free from tradition. Custodians and platform providers work together to help position advisor teams to reach their full potential. It's now the destination for those in search of a better way of doing business – one where more freedom and control allows both advisors and their clients to thrive.

As you embark on your journey, consider the:

  • Growth of the RIA channel*
  • Benefits of independence
  • Differences among the five business models for the modern RIA
  • Experiences of advisors who chose independence

Download this white paper to discover the five business models for the modern RIA.

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Rise Above

March 01, 2022

For many investment advisors, the ’08 financial crisis and COVID-19 pandemic highlighted just how valuable the Registered Investment Advisor (RIA) model can be for their businesses. With more freedom and control to do what’s best for their clients, independence has helped advisors soar when the odds are stacked against them. In this four-part white paper, we share insights from real RIAs on how the RIA model has helped them navigate turbulent times, the unique advantages they’ve enjoyed through independence, and why now is the best time for you to make the transition.

Download this white paper to discover how the RIA model has helped advisors thrive, with discussions centered around:

  • The strengths of the independent model, with firsthand accounts from RIAs who overcame challenges and better served their clients
  • Facing the future head-on and how advisors are positioning their firms to beat future challenges
  • How independence, and the flexibility it offers, is within your reach
  • Seizing the opportunity to break away when it is needed most

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What Kind of Independent Advisor Will You Be?

March 01, 2022

The kind of support a Registered Investment Advisor (RIA) receives is based on their personal and professional goals. Whether you want to pursue independence as an owner, an affiliate, or a teammate, Schwab can help you through the transition and support you throughout the life of your business.

In this white paper, we highlight the five most common RIA profiles while exploring topics like:

  • The different levels of control an RIA can have over their business
  • The benefits of platform provider support, upfront financial support, and existing infrastructure
  • Ways to pursue independence without being self-employed

No matter which path to independence you choose, custodians and platform providers will be ready to help you reach your full potential. Download this white paper to learn more.

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Schwab Tech Smarts, Insight #2

March 01, 2022

The past year has taught us to reimagine how we connect, learn, and work. As an independent RIA, having the right digital tools and platforms can offer a simpler, faster, and more secure way to support your clients and manage your business.

This case study explores how Clear Sky Wealth’s Stephanie Barnier has boosted her firm’s efficiency by going independent and customizing her tech stack using Schwab’s flexible, best-in-class technology platform. Now, she’s running a modern, digitally enabled practice that is known for being client-forward, fast-acting, and flexible.

Her story covers key findings about tech you can use in your journey, including:

  • How tech can give you an edge right from the start
  • What committing to a digital-first approach truly entails
  • Being ready to support clients in any environment
  • Surprising opportunities tech offers
  • Her simple three-step plan for taking your tech further

To read more about Stephanie’s story and hear her advice about choosing the tech that’ll make your firm ready to support clients in any environment, follow the link below.

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Mastering the Moment

March 01, 2022

As a Registered Investment Advisor (RIA), knowing how the industry will change and what tomorrow’s clients will want can make you unstoppable. At Schwab Advisor ServicesTM, our mission is to equip you with the innovative products and solutions that firms and investment advisors need to maximize their potential.

In this white paper, we paint a picture of the future of the investment industry – and how independent RIAs will thrive in it – with attention given to these specific areas:

  • The needs of high-net-worth investors
  • Growth through mergers and acquisition (M&A) activity
  • Cultures centered on innovation
  • Technology that moves us forward
  • The era of dramatic pricing changes

These critical trends have put RIAs in a position to excel, and as a trusted custodian, we are here to help you seize the opportunity. Download this white paper to learn more.

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Exploring Independence

March 01, 2022

More and more advisors are choosing independence to create the future they imagine for themselves and their clients. Custodians and platform providers work together to help position advisor teams to reach their full potential.

As a Registered Investment Advisor (RIA), you serve clients and design your business the way you know is best. Download this white paper and take a closer look at:

  • RIA channel growth
  • Benefits of independence
  • Differences among RIA models
  • Economics of RIA firms
  • Planning considerations
  • The custodian’s role

You’ll also receive time-tested steps and a roadmap for making your own transformation.

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The Economics of Independence

March 01, 2022

The Registered Investment Advisor (RIA) model is an opportunity to build your own brand and put your clients first – but how do the economics work? Is the transition to independence worth the cost? Does the earning potential compare to wirehouse and independent broker-dealer models?

In Schwab Advisor Services’ latest white paper, The Economics of Independence, we evaluate key areas related to the financial success of a firm. By comparing revenue potential, cost control, and business equity, you can have a better idea of how the economics of independence stack up against those of your current practice.

Download this white paper to explore the rewards of independence.

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Forward Momentum

March 01, 2022

Learn why billion-dollar teams are breaking away to pursue the independent model and redefine the advisor industry.

  • Discover the converging forces fueling the Registered Investment Advisor (RIA) movement.
  • Learn the advantages teams gain as RIAs.
  • Explore the highly evolved support ecosystem including custodians and platform providers.
  • See why experts are calling this the dawn of a new RIA era.

Download this white paper to learn more about how the RIA model is changing the advisor industry.

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Going Independent as a Hybrid RIA

March 01, 2022

In the last five years, the number of advisors moving to the independent Registered Investment Advisor ("RIA") space has increased significantly, with custodians and platform providers working together to help advisors reach their full potential. This move to independence brings new opportunities with it, including unique paths like the hybrid RIA model. Hybrid RIAs maintain both a brokerage and advisory business - a combination that can benefit their clients and businesses alike.

Get an overview of the different types of hybrid models. See if one aligns with your goals as you explore key topics:

  • Momentum in the hybrid RIA channel
  • The hybrid model defined
  • Opportunity within the hybrid model
  • Differences among the hybrid RIA models

Download this white paper to discover how the hybrid RIA model could help to transform your business.

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For more information on submitting your thought leader White Paper contact: [email protected] or (781) 376-0050