Schedule a Consultation


Changing firms can be complicated. Here's what we've learned from hundreds of advisors who have changed Broker Dealers and RIAs. These resources and thought-provoking articles are intended to help you consider your future path toward changing broker dealers, joining a team, finding a successor, or launching a new RIA.

Back to All Insights
What Financial Advisors Need to Know Before Going RIA

These are common misconceptions in the financial industry that have held back advisors from leaving their broker-dealer behind and launching an RIA.

What Financial Advisors Need to Know Before Changing Firms

These are the 12 best practices to keep in mind if you are a financial advisor considering a transition to another firm.

What Financial Advisors Need to Know Before Accepting An Offer

An offer to join a new firm can come in forms you might not be expecting. Learn how to use these offers to your benefit and avoid disappointing surprises.

What Financial Advisors Need to Know About Broker Protocol

The broker protocol is one of the biggest indicators about how your firm views whether your client is yours (advisor) or theirs (firm). Read more!

What Are The Most Important Steps to Consider When Launching Your Own RIA?

Get a better idea of what it will take to ensure you have everything in line to launch your own RIA.

Have You Considered the Human Side of a Financial Firm Acquisition?

If you are an advisor considering a financial acquisition, consider these 5 non-financial, human factors to ensure success.

What Financial Advisors Really Want in a New Firm

We explore the five most attention grabbing, downright irresistible options offered by firms looking to recruit the best and the brightest in the business.

Starting an RIA? Simplify Advisory Compliance with an Outsourced CCO

Financial advisors looking to start an independent practice or RIA can simplify compliance with Joot, an outsourced CCO and technology platform.

Get More Leads for Financial Advisors with Better Website Design [4 Key Website Recommendations]

Get more leads for financial advisors with 4 key website recommendations.

Considering Moving Firms as a Financial Advisor? Keep 3 Things in Mind

Keep these 3 key things in mind when thinking about moving or transitioning firms as a financial advisor.

Moving firms as an advisor, but stuck with Alternative Investments?

Financial advisors looking to move firms who have a portfolio filled with non-portable, alternative investments can find solutions with Cox Capital.

Financial Advisors, Get Out of the Penalty Box and Take the Next Step

Financial advisors who feel like they're in the penalty box with lower compensation rates may consider transitioning firms to improve their lives.

Getting the Best Offer: 8 Factors Your Next Firm Will Consider

Unsatisfied? Considering leaving your current practice? Think strategically & evaluate your options with these eight factors your next firm will consider.

Stuck in a Rut and Thinking About Moving to a New Firm? These are Your Next 5 Steps

Considering a transition to a new firm? These five steps can help ease your anxiety, set you up to be more strategic and feel more confident in your move.

A Year Later - Did COVID-19 Break the Wirehouse Model?

The structure of the wirehouse model may have been important in the past, but is it still a good option for financial advisors post-pandemic?

Risk Mitigation for Sole Proprietors: What You Need to Know

Learn what it takes to start your own practice that operates strategically, is compliant with financial regulations, and protects you as an owner.

Financial Advisors: 3 Actions You Must Take Before Switching Firms

Here's a framework for how to put a spotlight on yourself, tactfully negotiate, and get what you're worth when you're looking to join another firm.

8 Steps to Recruit Right Fit Advisors and Grow Your Practice

Analyze who you are and what you do as a financial advisor practice to attract and recruit right fit advisors using purposeful digital marketing strategies

How to Negotiate like a Pro: 6 Techniques for Financial Advisors

Improve your offer as a financial advisor with these six expert negotiation techniques.

Selling Your Wealth Management Practice? 5 Factors to Consider

Financial advisors preparing for a future sale will maximize their practice’ value and unleash growth potential by considering these 5 key factors.

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

Never join a new firm until you get answers to these questions. This list for financial advisors will help you ask the right questions before making a move

5 Qualities Financial Advisors Look for in a New Firm

From our research: the top 5 differentiators that financial advisors consider as they start exploring a transition to a new firm

Focus on Your Future: Succession Planning for Financial Advisors

Financial advisors spend their entire careers helping clients achieve their financial goals, but not quite as much time preparing for retirement.

7 Key Questions for Advisors When Offered a New Book of Business

You've been offered a new book of business- now what!? What should you be considering to help you determine if this is the right move and right time?

9 Reasons Why Financial Advisors Should Consider Changing Firms

Are you a financial advisor considering switching firms? Nine common reasons why financial advisors make a transition, and what that means for you.

Prioritizing Contribution Margin When Attracting Financial Advisors

Attracting 'good fit' financial advisors, especially from W2 firms, is key to your business. Why and how should you be thinking about contribution margin?

How to Shut Down the Annoying Advisor Recruiting Calls

Cold calling is a recruiting industry standard for financial practices. Experienced this? Recruiters will continue calling until you tell them this...

7 Critical Steps When Recruiting Financial Advisors to Your Firm

Prepare to attract and recruit right fit advisors to your practice with these seven critical steps and resources.