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The Complete Breakaway Checklist
According to a recent industry study, 100% of advisors who made the decision to go independent would do it again. So if you’re considering transitioning from your broker-dealer or wirehouse to start your own RIA, chances are you’ll be glad you did.
While independence comes with a host of benefits – increased net worth, stronger client relationships, more freedom and flexibility – getting off the ground is a lot of work, with plenty of boxes to check before you’re ready to open your doors.
Follow our breakaway checklist to make your transition as smooth and headache-free as possible. Topics covered include:
✅ Legal & Compliance
✅ Custodial Relationships
✅ Business Structure
✅ Tech Stack
✅ Investment Management