Case Studies

Each financial advisor we work with has a different vision of what we call their “Best Business Life”. While their individual visions may differ, a common thread remains: their desire to explore new possibilities and greater potential for their future. We’ve captured some of the stories of advisors we’ve worked with to provide you with a unique opportunity to look “behind the scenes” at their complex and sophisticated businesses, their thought processes, and the impact a change of firm or model had on their decisions and their futures.

An Independent Advisor Finds His Freedom
A principal of a predominantly fee-based practice leaves the IBD space to launch his own RIA

An RIA’s Second Wind: Solving for Scale, Support and Succession
A successful RIA starts a new chapter with HighTower Advisors

Going Independent – Twice
An advisor, who was unsatisfied with his current broker dealer, learns that all BDs are not the same and joins Commonwealth Financial Network

Making the Move from Wirehouse To Wirehouse Isn’t Necessarily “More of the Same”
A successful wirehouse advisor learns that not all wirehouses are created equal

Former UBS Advisors Launch IFAM Capital
Highly-established entrepreneurial wirehouse team moves to independence in partnership with Focus Financial

Wirehouse Superstar Goes Solo
Former wirehouse superstar launches her own RIA

Wirehouse Team Moves to IBD
Wirehouse team goes independent with FiNet: advisors seek turnkey bridge to independence and significant transition support

The Road Less Traveled
Independent broker dealer advisor joins wirehouse: advisor seeks to leverage more robust platform, greater operation efficiencies and succession plan options

Breakaway Team Opens RIA
Mega wirehouse team launches own RIA

A Merger Story
A unique merger of two independent wealth management firms

Wirehouse to Regional
Wirehouse team moves to a regional firm: seeks cultural uptick and greater flexibility by moving to a regional firm

Wirehouse Team Breaks Free
An Ex-Merrill Team Breaks Free with Focus Financial

 

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