Going Independent?

A Proven Process to Launch Your RIA with Confidence, Clarity, and Control 

With 30+ years of experience as an RIA, and deep expertise working inside major custodians, I’ve helped countless advisors break free from restrictive wirehouse models and build thriving independent firms.
Now, with my Path to Independence (PTI) process, we provide you with a step-by-step roadmap to help you transition successfully—and build a business you're proud of.

What Is the PTI Process?

PTI is a hands-on, advisor-focused process that equips you with the clarity, tools, and support you need to go independent—with confidence. 

 PHASE 1: “The Why” – Clarify Your Motivation

• Why are you ready to leave your current firm?
• Are you seeking control, better service, lower fees, or true client alignment?

We help you define your personal and professional motivations for independence.

PHASE 2: Transferability Test – Will Clients Follow?

• Assess the likelihood of client retention
• Identify risks, compliance hurdles, and gaps
• Forecast your success in a new, independent model

 We ensure your transition is not just possible—but positioned to thrive.

PHASE 3: Business & Financial Overview

• Analyze your current valuation & projected income
• Evaluate your client mix, revenue model & scalability

Measure your practice against the 7 pillars of a successful RIA

PHASE 4: Recommendations – Choose Your Path

            Which model fits your vision?

• Join an RIA
• Start Your own RIA
• Partner with an RIA Aggregator or Platform

Or… Stay at your current firm 

PHASE 5: Introductions, Due Diligence & Decision

• Compare platforms, custodians, and tech
• Evaluate operations, marketing, and compliance
• Align every decision with your values and goals

At the end of this phase, you’ll know exactly what path is right for you.

PHASE 6: Transition to Independence

• Execute client transfers with precision and care
• Launch your new firm with modern infrastructure
• Communicate with clients through personalized, compliant messaging

We guide every step—so you launch strong, with confidence and momentum.

What You’ll Gain

✔ Full control over your business
✔ A scalable, compliant, tech-enabled RIA
✔ Higher revenue retention
✔ True alignment with your clients
✔ A firm built around your values—and your future

Ready to Build Your Best Business?

Click the button below to schedule your free consultation and see if independence is the right move for you.