Transition Questions to Ask BDs/RIAs
The success of a transition depends heavily on the quality of the due diligence performed. Too many advisors evaluate a new firms based on polished pitch decks, or allow a recruiter’s likeability to influence their decisions instead of applying a structured due diligence framework. This can result with big, unexpected gaps in support, technology, or overall philosophy after they’ve made the move.
This guide gives you the specific questions to ask, organized across 11 areas: firm leadership, culture, advisory platforms, practice management, research and products, financial planning, insurance, technology, service and support, compliance, and transitions. This guide is designed to help uncover information that might not be volunteered by a recruiter and make sure no critical area gets overlooked.
Built from our team’s 300+ years of experience and thousands of advisor transitions, these are the questions that separate advisors who move with confidence from those who find out too late what they didn’t ask.
