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Efficiently Leading Financial Advisors to the Right Broker-Dealer

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Broker-Dealer Due Diligence

Before you affiliate with a firm, we want to help you conduct the due diligence needed to select that broker dealer. The details of the broker-dealer that may be considered are: the transition compensation that the broker dealer will pay you to move, the product mix they specialize in, the number of their representatives, the typical gross revenue of their advisors, monthly fees, how their compliance department works, platform fees that are charged, a review of the transition team, the compliance record of the broker dealer or RIA, as well as your other requirements.

Smooth Transition

Once you have decided on which firm to join, we will get you engaged with that firm’s transition team to ensure your smooth transition. They are a dedicated resource to aid you in moving your practice and will ensure that your book moves as easily as possible. We are dedicated to making the transfer as convenient as possible for you, as this is a very important part of the process.

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Full Representation

You will be confident on the services of Financial Advisor Placement Services to find your next broker dealer or Registered Investment Advisor. Our dedicated staff will be with you every step of the process as your agent who will work with you to get several competitive offers, so you negotiate the best deal possible. Since we have been doing this for 15 years we know the C-Level Officers at each firm. We will also work as your consultant to detail the information of each firm, schedule calls and meetings, and provide advice on which offers may be more favorable. We will also review the value that each broker-dealer can bring to your practice.

Please contact us today. We look forward to working with you confidentially.

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