Financial Advisor

Transition Readiness Assessment

Five minutes of questions. A confidential read on how ready your practice is to move.

Contact

Full Name * Required

Mobile Phone * 10-digit mobile number required

Email * Valid email required

CRD Number Optional

Current Firm

Your Practice

1.Trailing-12-month production *

Under $250K $250K–$500K $500K–$1M $1M–$2M $2M–$5M $5M+

Please choose one

2.Current channel *

Wirehouse Regional BD Independent BD Bank or credit union Insurance BD RIA Hybrid RIA

Please choose one

Your Agreements

3.Is your current firm in the Broker Protocol? *

Yes No Not sure

Please choose one

4.Do you have a non-solicit or non-compete in your agreement? *

Yes No Not sure

Please choose one

5.Any forgivable loans or deferred comp outstanding? *

Yes No Not sure

Please choose one

Your Clients

6.Roughly what share of your clients would follow you? *

90%+ 70–89% 50–69% Under 50% Not sure

Please choose one

7.How concentrated is your book? (Top 10 households' share of revenue) *

Under 25% 25–50% Over 50% Not sure

Please choose one

Licensing & Timing

8.Licensing *

Series 7 & 66 (or 65) Series 65 only Series 7 only Other

Please choose one

9.Timeline *

Within 3 months 3–6 months 6–12 months 12+ months Just exploring

Please choose one

10. What's driving it?

Leave this field empty

Confidential. Never shared with any firm without your permission. Privacy policy

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Your readiness read

Your profile fits more than one transition path. Which one is right depends on details worth a 20-minute conversation.

General information only. Not legal, tax or investment advice. Have counsel review any employment or representative agreement before acting.

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