Successful Transitions
Start Here

From initial planning to long-term growth, we help financial advisors navigate every step with confidence, clarity, and support.

Comprehensive Transition Resources

Get the support you need across every aspect of owning your independent practice

Business Entity & Practice Setup

FiNet helps advisors establish a strong operational foundation before affiliation.

Entity formation & structure – Guidance on establishing the appropriate business entity for independence.
Real estate support – Assistance with office location strategy and readiness.
Technology readiness – Platform access, entitlements, and infrastructure planning.
Marketing & branding – Support for practice positioning, branding, and go to market readiness.

Deal Structure & Economics

FiNet provides clarity and support around transition economics and contractual considerations.

Current firm contract review – Identifying risks, obligations, and transition considerations.
Financial & practice review – Analysis of revenue, AUM, and business mix to support deal modeling.
Letter of Intent (LOI) – Structured path to formalize commitment and alignment.

Investments & Lending Due Diligence

FiNet helps ensure investment and lending continuity for advisors and clients.

Product due diligence – Review of investment portability and platform alignment.
Lending vetting – Assessment of lending solutions and transition considerations.
FA directed certification process – Required approvals to support advisor directed business.
Business planning support – Tools and guidance to align growth strategy with the FiNet platform.

Onboarding & Transition Execution

Dedicated transition support designed to minimize disruption and accelerate readiness.

New associate profile setup – Capturing practice and team details to enable onboarding.
Pre affiliation regulatory steps (CRD) – Coordination of required disclosures and approvals.
Guidelines & certifications – Ensuring compliance with firm and regulatory standards.
Background checks & fingerprints (OBA review) – Streamlined compliance processing.
Education & training – Platform, technology, and operational training before and after affiliation.

Seamless Transition Planning

Experience side by side support before, during, and after the transition process

Meet your Market Recruiting Manager

Your Market Recruiting Manager works to understand your needs and goals, and will educate you on the process of joining FiNet.

financial advisor and manager have a conversation

Attend a Personalized Due Diligence Meeting

We’ll develop a Due Diligence meeting customized to your areas of interest, providing a deep dive on client experience, technology, marketing & branding, products & solutions, high net worth support, transition, and much more.

Partner with your Transition Consultant

Trust a single point of contact with the needs of your practice and clients throughout the process of transitioning your practice.

Successful Transitions Start Here