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150+ Due Diligence Questions for Financial Advisors Considering a Firm Transition


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What's in the PDF?

Get the 150+ Due Diligence Questions for Financial Advisors Considering a Firm Transition PDF for a comprehensive list of questions to ask if you’re considering joining a new firm.


After talking with over 1,000 financial advisors from over 100 different firms and helping advisors transition over $25B in assets, we developed this list based on their experiences. 

This 17-page PDF guide includes questions about topics such as client account requirements, pricing models, transition, and more.

Here are a few examples:

  • Will you allow me to retain existing client files for instances when my clients authorize me to do so?
  • Are there fees I should be aware of for staff support? Like tech subscriptions or other licensing fees?
  • Who should I or my clients call if they have an issue right after I transfer?

How will it help me?

As you’re researching a new firm or platform for your financial practice, we understand that all the information can be overwhelming. And even though each firm is different, the questions you should ask are the same.


We developed this list after years of hearing advisors say, “I wish I knew that earlier when I was looking for a new firm.” We hope this PDF will help you:

  • Know exactly what questions to ask
  • Stay organized throughout your search
  • Avoid feeling overwhelmed
  • Conduct your search faster and more efficiently

If you think there’s something other advisors would benefit from asking, please let us know so we can add it to the PDF!

Download the PDF