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
✅ Insurance
✅ Custodial Relationships
✅ Business Structure
✅ Tech Stack
✅  Investment Management


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