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Starting an RIA

Learn all you need to know about preparing and launching your fee-only RIA (Registered Investment Advisor) firm. These resources are carefully curated to help you confidently move from where you are to where you want to be. The first steps to your dream firm start here!

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Step-By-Step Guide

Your Firm, Your Terms

Learn everything you need to know about preparing and launching a fee-only Registered Investment Advisor (RIA) Firm.  

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Case Study

How Andy Panko Made the Leap and Built a Thriving Solo RIA

Leaving a stable corporate job came with financial risk and uncertainty, but Andy's deep passion for financial planning and his long-term vision for helping others motivated him to make the leap.

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Success Stories

Learn how XYPN members started their firms on their terms with these inspirational stories.

How River Nice Built a Firm for Community, Inclusivity, Intentionality
How River Nice Built a Firm for Community, Inclusivity, Intentionality

How River Nice Built a Firm for Community, Inclusivity, Intentionality

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How Ashley Foster Turned Industry Doubts Into a Successful Niche Firm
How Ashley Foster Turned Industry Doubts Into a Successful Niche Firm

How Ashley Foster Turned Industry Doubts Into a Successful Niche Firm

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How Dillon Cobb Turned Loss Into a Thriving Solo Firm
How Dillon Cobb Turned Loss Into a Thriving Solo Firm

How Dillon Cobb Turned Loss Into a Thriving Solo Firm

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How Nycole Freer Took the Leap to Launch Eden Financial
How Nycole Freer Took the Leap to Launch Eden Financial

How Nycole Freer Took the Leap to Launch Eden Financial

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First Year Business

Your journey to starting and growing a sustainable business begins here!

Niche Mastery: How to Authentically Target Your Audience

Niche Mastery: How to Authentically Target Your Audience

Jan 24, 2024
How to Mine the Market to Find & Maximize Your Niche

How to Mine the Market to Find & Maximize Your Niche

Jul 13, 2023
Launching a Firm With Investment Management Experience & Serving Firefighters

Launching a Firm With Investment Management Experience & Serving Firefighters

Jun 15, 2022
The Confidence to Launch and Define Your Niche

The Confidence to Launch and Define Your Niche

Mar 23, 2022
Leveraging the Power of the Media to Build a Wildly Successful RIA Working with the LGBT Community - The Career of David Rae

Leveraging the Power of the Media to Build a Wildly Successful RIA Working with the LGBT Community - The Career of David Rae

Feb 21, 2018
Your Niche and Ideal Client
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Course

Your Niche and Ideal Client

Master your niche and ideal client with the FREE XYPN Academy course. Develop tailored solutions and build a successful practice. Access 100…

Featured Resources
First-Year RIA Budget Projection
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Guide

First-Year RIA Budget Projection

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The First-Year Financial Advisor Business Plan
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Guide

The First-Year Financial Advisor Business Plan

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Fee-for-Service Financial Planning
Fee-for-Service Financial Planning
Book

Fee-for-Service Financial Planning

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First Year Compliance

Navigate RIA registration and establish your compliance program with confidence. These resources help ensure your firm easily passes registration review, is compliant from day one and set up for ongoing success! 

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Guide: RIA Registration | XYPN

A step-by-step guide to State and SEC registration of your Registered Investment Advisor (RIA) firm.

Comparing Launch Approaches: DIY vs. Curated Tool Kits for an RIA

Comparing Launch Approaches: DIY vs. Curated Tool Kits for an RIA

Feb 9, 2026
3 Key Boxes to Check Off Before Registering Your RIA

3 Key Boxes to Check Off Before Registering Your RIA

Jul 29, 2024
State vs. SEC Registration: What’s the Regulatory Difference?

State vs. SEC Registration: What’s the Regulatory Difference?

Mar 7, 2022
Your Guide to Social Media Compliance and the New SEC Marketing Rules

Your Guide to Social Media Compliance and the New SEC Marketing Rules

Aug 30, 2021
Accounting for Compliance During the Initial Registration Process

Accounting for Compliance During the Initial Registration Process

Sep 20, 2018

Check your state’s RIA registration requirements

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First Year Marketing

Kickstart your marketing efforts with the right tools and strategies in your first year. These resources are designed to help you build your brand, attract clients, and create a solid marketing foundation. With the right approach, your business can grow and thrive from the very beginning!

Niche Mastery: How to Authentically Target Your Audience

Niche Mastery: How to Authentically Target Your Audience

Jan 24, 2024
How to Mine the Market to Find & Maximize Your Niche

How to Mine the Market to Find & Maximize Your Niche

Jul 13, 2023
Using Your Own Money Scripts to Build Your Ideal Firm: The Career of Leighann Miko

Using Your Own Money Scripts to Build Your Ideal Firm: The Career of Leighann Miko

Jan 15, 2020
Marketing on a Limited Budget with XYPN Marketing Coach Carolyn Dalle-Molle

Marketing on a Limited Budget with XYPN Marketing Coach Carolyn Dalle-Molle

Aug 7, 2019
Leveraging the Power of the Media to Build a Wildly Successful RIA Working with the LGBT Community - The Career of David Rae

Leveraging the Power of the Media to Build a Wildly Successful RIA Working with the LGBT Community - The Career of David Rae

Feb 21, 2018
Building a Marketing Funnel to Grow Your Firm

Building a Marketing Funnel to Grow Your Firm

Feb 14, 2018
Content Marketing in the Digital Age - An Interview with Ric McConkey of FMeX

Content Marketing in the Digital Age - An Interview with Ric McConkey of FMeX

Jun 1, 2017
Alan & Kitces Unhinged - Marketing vs. Prospecting, Service Models, and more!

Alan & Kitces Unhinged - Marketing vs. Prospecting, Service Models, and more!

May 24, 2017
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Ready to stop dreaming and start doing?

Learn all the ways XYPN membership can help make your dream firm possible

Making the Leap

Top Myths About Starting an RIA That Need Debunking
XYPN Blog Myths vs Facts

Top Myths About Starting an RIA That Need Debunking

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A Case for Going Full Time When Starting Your RIA: What Would Arlene Say?
A Case for Going Full Time When Starting Your RIA: What Would Arlene Say?

A Case for Going Full Time When Starting Your RIA: What Would Arlene Say?

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5 Investment Management Options To Consider When Launching Your RIA
5 Investment Management Options To Consider When Launching Your RIA

5 Investment Management Options To Consider When Launching Your RIA

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Finding Success in Year One of Your RIA
Finding Success in Year One of Your RIA

Finding Success in Year One of Your RIA

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3 Resources for Financial Advisors Looking to Start an RIA
3 Resources for Financial Advisors Looking to Start an RIA

3 Resources for Financial Advisors Looking to Start an RIA

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How to Determine Your Services and Fees When Launching Your RIA
How to Determine Your Services and Fees When Launching Your RIA

How to Determine Your Services and Fees When Launching Your RIA

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Advisor Transition Stories

 
Making The Transition From a Broker Dealer to Launching Your RIA
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Making The Transition From a Broker Dealer to Launching Your RIA

Jul 24, 2024
From CPA to Starting & Growing Your Own RIA
From CPA to Starting & Growing Your Own RIA

From CPA to Starting & Growing Your Own RIA

Apr 19, 2023
Firm In Flux: How Buyout and Reinvention Can Kick Start an RIA
Firm In Flux: How Buyout and Reinvention Can Kick Start an RIA

Firm In Flux: How Buyout and Reinvention Can Kick Start an RIA

Dec 27, 2023
RIA Compliance: Staying Compliant When You Start Your Firm
RIA Compliance: Staying Compliant When You Start Your Firm

RIA Compliance: Staying Compliant When You Start Your Firm

Dec 9, 2015
From Wirehouse to Solo RIA—When Following a Calling Serves You AND Your Clients
From Wirehouse to Solo RIA—When Following a Calling Serves You AND Your Clients

From Wirehouse to Solo RIA—When Following a Calling Serves You AND Your Clients

May 3, 2023
Changing Careers & Growing a Successful Fee-Only Firm
Changing Careers & Growing a Successful Fee-Only Firm

Changing Careers & Growing a Successful Fee-Only Firm

Dec 29, 2021

The First-Year Playbook

Money Well Spent in the First Year of Running Your RIA
Money Well Spent in the First Year of Running Your RIA

Money Well Spent in the First Year of Running Your RIA

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10 Lessons You'll Learn in the First Year of Running Your RIA
Why RIA Compliance Consultants Can Save You Days of Work

10 Lessons You'll Learn in the First Year of Running Your RIA

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6 Financial Advisor Tools That Will Get Your Firm Up and Running
6 Financial Advisor Tools That Will Get Your Firm Up and Running

6 Financial Advisor Tools That Will Get Your Firm Up and Running

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Tips on Running Your New Financial Planning Practice from Dave Grant
Tips on Running Your New Financial Planning Practice from Dave Grant

Tips on Running Your New Financial Planning Practice from Dave Grant

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XYPN_Grid_Blue-6 Cathy Curtis, Founder, CEO, Financial-Planner, Curtis Financial Planning


Cathy Curtis, CFP® | Curtis Financial | 

XYPN Member since 2020
“If you're an independent-minded person, it’s totally the way to go.”
Cathy Curtis, CFP®
Curtis Financial

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