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Broker-Dealer and Custodian Selection and Transition

A successful transition requires a significant investment of time and effort. We provide all the legwork so you can stay focused on your business while ensuring you make the best choices for your practice. Our end-to-end services maximize your efficiency and provide critical advice while helping you make rapid progress towards your goals. The receiving broker-dealer or custodian generally pays for our services.

Business Transition Services

  • Understand Business Model – We work to understand your practice business model to align you with a firm that will be consistent with your approach.
  • Provide Research – To effectively differentiate among the many choices available, we conduct the research necessary to identify the best potential partners for you, whether it’s a broker-dealer, custodian or tuck-in firm.
  • Evaluate Regulatory Expertise – An important consideration in any partner is the ability to provide regulatory and compliance expertise. We evaluate for this criterion to ensure you have access to all the resources you’ll need.
  • Determine Pricing Policies – Our expertise can help clarify and demystify the internal pricing policies of potential partners so there are no surprises after the deal is complete.
  • Product & Technology Platforms – Often overlooked, these two components play a crucial role in the effectiveness of your day-to-day operations. We make sure they get the attention they deserve and you’ll have the tools you need to be successful.
  • Logistical Support – We help you determine the logistical support you’ll need to transition smoothly and get back to running your business.
  • Negotiating Costs & Bonuses – We understand what the true costs of transition are and we work with you to negotiate transition expenses and advocate for your needs.
  • Follow Up – We stay with you past the onboarding and client transition to ensure continuity of service.
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