Financial Planning Publishes ‘Starting an RIA’ Guide for Subscribers

Financial Planning released ‘Starting an RIA’ on June 29, 2026. The guide compiles 30 stories by Chief Correspondent Tobias Salinger that examine choices advisors face when leaving broker-dealers to form registered investment advisory firms. The full book is available to current subscribers through the publication’s subscriber portal; registered users on the Financial Planning website can access an abridged preview.

The reporting addresses when advisors make the transition, how they attract and retain clients, practice management, growth strategies and options for exiting a business. It also covers operational topics such as custody arrangements, fee models, compliance requirements, staffing, technology selection, legal and compliance frameworks, marketing and succession planning.

Financial Planning described the collection as a resource to help advisors evaluate practical and operational choices tied to independence.

The series received a regional bronze award from the American Society of Business Publication Editors for best feature series.

Brian Wallheimer, editor-in-chief, noted the movement to independence has grown as many advisors seek to build firms and cultures that match their professional styles and preferences. He added the publication aims to provide stories that help readers make informed decisions, grow practices and strengthen client relationships.

Current subscribers can download the full guide at no additional cost; non-subscribers may register on the site to receive the abridged preview.

Salinger’s reporting included examples from solo advisors through multi-advisor practices and identified common transition challenges including choosing systems, establishing legal and compliance frameworks and communicating changes to clients.