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Developing Your Transition Plan

Transitioning to a new RIA/broker-dealer platform can be a hassle without proper planning. Our transition team ensures every advisor experiences a smooth and quick transition to Brokers Financial. When you decide to partner with us, we’ll collaborate with you and our team of transition experts to develop a customized transition plan tailored to your specific transition needs and requirements.

Strategic Objectives

When building your transition plan, we consider a multitude of factors, including timing, commission payments, client communication, and more. We aim to minimize downtime and create the most efficient transition plan possible for every advisor.

Taking Inventory

We’ll help you take inventory of your client accounts and note any additional features to ensure a seamless experience for your clients throughout the transition process.

Business Processing

Our Transition Specialist will facilitate your registration with FINRA, submit transfers, follow up on receipt of assets, and track your licenses while keeping you in the loop with updates throughout the transition.


Our robust onboarding and training procedures will get you and your staff up and running quickly and efficiently at the beginning of your transition so there is little down time for your business.

Reach out to our Transition Team for more information on how
we can help you transition your business to Brokers Financial.