Changing broker-dealers is a major decision that can significantly impact your business, clients, and long-term growth. At Advisor Outreach, we’ve helped hundreds of advisors navigate this transition smoothly and successfully. This guide will walk you through the process, key questions to ask, and how our team can support you every step of the way.

1. Define Your Why
   Before evaluating new firms, ask yourself:

• Why am I considering a move?
• What’s missing in my current broker-dealer relationship?
• What would a better platform offer me and my clients?
  Understanding your goals—whether they’re financial, operational, cultural, or strategic—will guide every decision that follows.

2. Know Your Options
   There are three primary paths:

• Join another independent broker-dealer
• Join or launch an RIA
• Hybrid structures
  Each model has trade-offs related to payouts, compliance, freedom, and support. We break down these options for you during our free consultation.

3. Ask the Right Questions When Vetting Firms
   Use this list when speaking with prospective broker-dealers or RIAs:

• What are your transition support services like?
• How are payouts structured—and are there any hidden fees?
• What technology stack do you offer?
• How do you support marketing, compliance, and operations?
• What is your culture like?
• Are there advisors like me who’ve made this transition successfully?

4. Keep It Confidential
   It’s essential to protect your current business while you explore your options. We:

• Sign NDAs with advisors and firms
• Handle all scheduling and firm outreach anonymously
• Never share your name or book size without permission

5. Compare Offers Strategically
   We simplify this part for you:

• We gather and compare offers from multiple firms
• Lay them out side-by-side
• Show net compensation and qualitative fit
  Our clients accept our first recommendation over 90% of the time.

6. Plan the Transition Timeline
   We help you create a customized plan:

• Timeline for notice, paperwork, and client communication
• Licensing and compliance checklist
• Custody and ACAT procedures
  Most advisors complete the transition in under 90 days.

7. Don’t Do It Alone
   Changing broker-dealers is a complex process—but you don’t have to navigate it by yourself.

Why Advisors Work with Advisor Outreach:

• We talk to hundreds of advisors each month
• We help 20+ teams move every quarter
• We know where the best-fit firms are hiring now
• We bring a nationwide presence and elite team support

Ready to Explore Your Options?

Let’s have a confidential, no-pressure conversation. We’ll help you:

• Clarify your goals
• Identify the best-fit firms
• Handle the heavy lifting

📞 813‑344‑2880
📧 [email protected]

Change is hard. We make it easier—and more profitable.