Preparing breakaway brokers for ria independence

This 10-tip series will help prepare breakaway brokers and financial advisors to leave wirehouses, banks and trust companies to move to RIA Independence via Broker Protocol and non-Protocol transitions into their own firm or an existing RIA firm.

 
 
 

“As a multi-billion-dollar breakaway team, there was a lot of complexity to our transition from wirehouse to RIA independence.  Corey and his team gave us great strategic advice, seamlessly handled the incubation of our firm and our employment transition, corporate structuring, contracts and intellectual property work.  They also fully prepared us for the unexpected – which proved to be crucial to our successful transition and launch." 

Josh Carter, Managing Director, Sepio Capital, LLC

Are you a breakaway team looking to go independent or an RIA firm interesting on on-boarding a wirehouse or other advisor?

 

The attorneys at Kupfer & Associates have worked with hundreds of breakaway teams and on-boarding firms creating strategies and providing advice to help assure smooth and successful transitions. Call (646)-751-7516 or email us at ckupfer@kupferlaw.com if we can be of service or if you have any questions.