We help advisors start an independent practice or grow their RIA through strategic communications, custom marketing plans, and sales coaching.
When it comes launching your own RIA, it can be challenging to navigate the legal and regulatory side of things and to make sure you're not missing anything.
This 4-page PDF streamlines the items you should consider, categorized into 5 topics:
We developed this checklist after years of work helping financial advisors transition from firms. We hope the Legal & Compliance Checklist will help you:
If you would like advice on where to go from here, we'd love to talk with you. Don't hesitate to contact us and set up a meeting with one of our transition experts!