In this episode, we share our experience of assisting an Uptick Partner firm in transitioning from a captive broker dealer to becoming an independent Registered Investment Advisor (RIA). We discuss the challenges, surprises, and critical steps involved in a successful transition. We provide insights on managing paperwork, setting client expectations, and leveraging marketing strategies like Facebook ads and digital billboards. We emphasize the importance of preparation and support for achieving a high rate of client retention during the transition. For advisors contemplating independence, Uptick Partners offers expertise and a white-glove service to ensure a smooth and efficient transition.

For more information about Uptick Partners and how we can help you in your breakaway journey learn more about the RIA world, visit us at UptickPartners.com.

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