AdviSuite | Registered Investment Advisor & Management

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PATH 01 · FOR ADVISORS LEAVING A CAPTIVE ENVIRONMENT

Join the AdviSuite RIA.

The cleanest path from a wirehouse, broker-dealer, or bank platform to genuine fiduciary independence. Operate under AdviSuite’s registered investment adviser, keep your clients and your brand, and let us handle the compliance, operations, and regulatory infrastructure from day one.
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SEE WHAT'S INCLUDED
IS THIS YOUR PATH?

Built for advisors who want
independence without overhead.

If those describe you, this path is built for you.
  • You're at a wirehouse, broker-dealer, bank, or other captive platform and ready to leave.
  • You have an established book of business and clients who will follow you.
  • You want to operate as a fiduciary, on your own terms — without spending six months and significant capital building your own RIA from scratch.
HOW IT WORKS

Four steps to operating under the AdviSuite RIA.

01

Discovery conversation.

We start by understanding your situation: your current firm, your book of business, your timing, your goals. Confidential, no obligation.

02

Onboarding and registration.

We bring you onto AdviSuite’s Form ADV, set up your advisor profile and credentials, and prepare your operational setup.

03

Client transition.

We coordinate the technical and operational side of moving client accounts and custodial setup.

04

Day one and beyond.

You’re operating under AdviSuite’s registered investment adviser while we carry compliance and operations.
WHAT'S INCLUDED

Everything beneath the advice. Done.

When you join the AdviSuite RIA, six categories of operating work move off your

plate — handled professionally by our team.

Operating under AdviSuite's SEC-registered RIA

Instant fiduciary standing. No Form ADV to file yourself, no CRD to register, no waiting for SEC approval before you can advise.

Full compliance program

CCO oversight, supervisory procedures, ongoing monitoring, regulatory reporting, marketing review under SEC Rule 206(4)-1.

Custodian integration

Schwab, Fidelity, and Pershing relationships ready on day one. We handle the operational integration.

Operations and back-office

Account opening, money movement, billing, reconciliation, document management — all run by our team.

Marketing infrastructure

Website, email, content support, and compliance-aware marketing review for everything you send to clients and prospects.

Investment infrastructure

Access to model portfolios, research, trading and rebalancing support, and alternatives platforms.
WHAT YOU KEEP

A platform is infrastructure. Not a takeover.

When you join AdviSuite, nothing that defines your practice changes hands. We provide the RIA, the compliance program, the operations. You keep everything else — the things that took you years to build.

Your clients.

Every client relationship belongs to you. We never have a claim on your book of business.

Your brand.

Your firm name, your market identity, your story. None of that changes.

Your investment judgment.

You make the advisory decisions. We provide the structure around them.

Your revenue.

Your fee arrangements and business economics are yours to structure and retain.

Your voice.

You communicate with clients on your terms. We support the back end.

Your future.

Growth, succession, exit — your long-term trajectory is yours to determine.
COMMON QUESTIONS

What advisors usually ask before joining.

No. We evaluate advisor fit based on professionalism, alignment, and long-term potential — not just assets under management.

Most advisor transitions take between a few weeks and a few months depending on custodial setup, paperwork, and client communication timing.

In many cases yes. We help coordinate ACAT transfers and custodial transitions while minimizing disruption for clients.

Requirements depend on your role and jurisdiction. We walk advisors through registration, compliance, and credential expectations.

No. Advisors operating under AdviSuite use our registered investment adviser infrastructure and compliance framework.

Your client relationships remain yours. Our structure is built around advisor independence and long-term flexibility.

Every conversation is confidential. Every assessment is honest. We are not interested in closing deals — we are interested in finding advisors whose work and values fit what we are building. If yours do, we’ll know. If they don’t, we’ll tell you.

START THE CONVERSATION

Let's talk about your transition

Tell us a little about your situation. One of our team will reach out within one business day to schedule a confidential conversation. No pitch, no obligation.