Before You Hire a Financial Advisor, Watch This
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Choosing a financial advisor is one of the most important financial decisions you'll make, but many investors don't fully understand the differences between working with an independent Registered Investment Advisor (RIA) and a large brokerage firm.
In this video, Alex Chandler, CFP® with Base Wealth Management, explains how these two advisory models differ and why those differences may matter depending on your financial goals, preferences, and expectations.
Alex discusses several key distinctions, including:
• The fiduciary standard and what it means for clients
• Independence from proprietary products and corporate investment models
• Personalized financial planning versus standardized model portfolios
• The value of long-term advisor relationships and direct communication
• How custodians like Schwab and Fidelity fit into the independent RIA model
• Fee-based compensation and how incentives can differ
• Why there isn't a one-size-fits-all answer when choosing an advisor
Whether you're evaluating your current advisory relationship or considering working with an independent advisor for the first time, understanding these structural differences can help you make a more informed decision.
At the end of the day, the right advisor isn't simply about the size of the firm—it's about finding a relationship built on trust, transparency, and alignment with your long-term financial objectives.
If you'd like to discuss your current financial situation or explore whether an independent advisory relationship may be a good fit, we'd be happy to have a conversation.
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BASE WEALTH MANAGEMENT is an SEC-registered investment adviser and offers advisory services in jurisdictions where it is properly registered, notice-filed, or otherwise exempt from registration requirements. Base Wealth Management renders individualized responses to persons in a particular state only after complying with applicable SEC and state regulatory requirements or pursuant to an applicable exemption or exclusion. Registration with the SEC does not imply a certain level of skill or training. Different types of investments involve varying degrees of risk, including the potential loss of principal. Past performance is not indicative of future results, and there can be no assurance that any investment strategy will be successful. There is no guarantee that any portfolio will achieve its investment objectives or outperform any benchmark or index.
Different types of investments involve varying degrees of risk including the potential loss of the entire principal invested. Past performance is no guarantee of future results and there can be no assurance that any specific investment will be profitable. There are also no assurances that any portfolio will match or outperform a particular benchmark or index.
This material is provided for informational and educational purposes only and does not constitute investment advice or a recommendation to buy or sell any security. It does not constitute tax or legal advice. References to market indices are for context only. Consult a qualified financial professional before making any financial decisions.
BASE WEALTH MANAGEMENT does not represent, warranty, or imply that the services or methods of analysis employed by the firm can or will successfully identify market tops or bottoms, or insulate clients from losses due to market corrections or declines.
BASE WEALTH MANAGEMENT will provide all prospective clients with a copy of our current and prior to commencing an Advisory relationship. Existing clients will receive a copy of these documents on an annual basis. A copy of our current ADV Part 2 Brochure is available at adviserinfo.sec.gov.
The Retirement Reality Check is an educational tool intended to help individuals identify areas that may warrant further planning discussion. It is not a financial plan, investment recommendation, or guarantee of retirement readiness.
Statistics cited on this page are drawn from third-party research and are provided for general educational context only. Individual circumstances will vary. 1,2,5 Employee Benefit Research Institute (EBRI), 2023 Retirement Confidence Survey. ebri.org. 3 Federal Reserve, Report on the Economic Well-Being of U.S. Households (2023). federalreserve.gov. 4 Federal Reserve, Survey of Consumer Finances (2022). 5 Vanguard, How America Saves (2023); National Institute on Retirement Security, Retirement Insecurity 2024.
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