Design a Clear Path To Your New RIA

Does your current situation make it challenging to devote time to starting your RIA firm? Are you concerned about waiting for months following your resignation as your new RIA firm goes through the regulatory registration and approval process? Our RIA Transitions Incubation™ may be the solution for you.

Our Series 65 professionals with extensive industry backgrounds can establish your new RIA firm for you. We’ll establish your advisory firm to your unique specifications while you wrap up your existing obligations. When you are ready, there will be a live, fully registered RIA ready for you to take over and begin serving clients.

As part of the RIA Transitions Incubation™, our experienced Principals will:

  • Conduct strategic business planning sessions to assist you in finalizing all aspects of your business plan.
  • Work with your designated attorney to establish your legal entity and secure necessary trademarks and website URLs.
  • Register your firm with the SEC or State Regulator(s) — (See RIA Registration Advantage™ service).
  • Assist with custodian evaluation, decisioning and approval process.
  • Assist with technology and other business partnership decisions.

When you are ready to assume control, your firm will be ready for you. AdvisorAssist will transfer the firm into the name of your principal owner(s). If a custodial or brokerage relationship has been established, we can assist you with the transition of your client accounts as well as the selection and implementation of technology solutions.

After the completion of your transition into a live RIA, you may continue to leverage the expertise of our professionals through either our Compliance and Regulatory Solutions and other customized services.

For additional information on the RIA Transitions Incubation™, please complete the adjacent form or call us at (617) 800-0388, Option 1.