Transition

Transition

Find the best fit back-office solution.

For financial advisors who feel stuck or are considering change, we provide clarity and ease for back-office transition. We educate you on opportunities, manage the search, prepare you for transition, and support execution.

OUR APPROACH

Here are some things you can expect when working with us.

Education & Alignment

  • Individually designed workshops to educate on the industry landscape and its pressures
  • Learn about the evolution of the wealth management industry - where it’s been, where it’s headed, and why this affects your business today
  • Learn what clients are expecting and how to enhance client experience and loyalty
  • Understand the intricacies of affiliation models, their requirements, and pro’s and con’s (Fee-Only, Hybrid, Dually Registered)
  • Determine optimal business structure for the future 

The Search

  • Economic analysis of current and future state
  • Due Diligence & curated introductions of best-fit potential RIA-IBD partners
  • Guides for a thorough analysis of RIA-IBDs, RIA service providers, Aggregators, and Regionals
  • Decision-making frameworks for alignment   
  • Negotiation strategy of transition support

Preparation

  • Strategic project plan
  • Technology stack consultation and design
  • Paperwork preparation guidance
  • Product mapping exercise
  • Coordination with legal, compliance, and technology
  • Transition budget & cash flow plan

Implementation

  • Execution plan
  • Client communication plan coordinated with legal plan
  • Technology mapping oversight
  • Guidance and opportunity for on-site project management support

Other Solutions

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