Advisor Consulting & Solutions

Broker Dealer & Custodian Solutions

Make your Broker Dealer or Custodian Move with Confidence
AdvisorBridge represents top-tier broker dealers and custodians. We specialize in a consultative process to guide your broker dealer search by identifying your needs and matching them with the best platform solution. As a consulting firm, we routinely meet with you in person to truly understand your business and identify which broker dealer or custodian platform will maximize the growth of your business.

Whether you are currently at a bank, wirehouse, insurance company, or an independent advisor/RIA, AdvisorBridge serves as an unbiased consultant when you’re ready to change broker dealers or move to an RIA. We advise you through the process and utilize our expansive broker dealer, independent broker dealer and RIA custodian relationships to match your professional needs accurately. Our sole focus is to match your strengths and requirements with the best broker dealer or RIA platform.

Let our combined 85 years of experience – both as financial advisors and leading industry consultants – simplify your search process.

Ready to make your move? Have you considered going hybrid? Discuss your options with us.

Broker Dealer & Custodian Solutions

Make your Broker Dealer or Custodian Move with Confidence
AdvisorBridge represents top-tier broker dealers and custodians. We specialize in a consultative process to guide your broker dealer search by identifying your needs and matching them with the best platform solution. As a consulting firm, we routinely meet with you in person to truly understand your business and identify which broker dealer or custodian platform will maximize the growth of your business.

Whether you are currently at a bank, wirehouse, insurance company, or an independent advisor/RIA, AdvisorBridge serves as an unbiased consultant when you’re ready to change broker dealers or move to an RIA. We advise you through the process and utilize our expansive broker dealer, independent broker dealer and RIA custodian relationships to match your professional needs accurately. Our sole focus is to match your strengths and requirements with the best broker dealer or RIA platform.

Let our combined 85 years of experience – both as financial advisors and leading industry consultants – simplify your search process.

Ready to make your move? Have you considered going hybrid? Discuss your options with us.

Office and Location Setup

We have resources that will take care of everything – from real estate to paperclips – to fully set up your office, including wiring your office for all your technology and communication needs.

  • Eliminate the stress and frustration of finding an office location and negotiating a lease
  • Work with experts to find suitable locations for your needs
  • Hire professionals who will design, furnish and setup your office space
  • Let us help you determine and configure the appropriate computer hardware and software to ensure you are up and running before day one at your new broker dealer or custodian
  • Use our professional support to help with issues ranging from competitive pricing for furniture, supplies, and even computers and telephone systems
  • Acquire recruiting assistance to help with sourcing and interviewing potential staff, from Sales Assistants to Technical Support Staff

Office and Location Setup

We have resources that will take care of everything – from real estate to paperclips – to fully set up your office, including wiring your office for all your technology and communication needs.

  • Eliminate the stress and frustration of finding an office location and negotiating a lease
  • Work with experts to find suitable locations for your needs
  • Hire professionals who will design, furnish and setup your office space
  • Let us help you determine and configure the appropriate computer hardware and software to ensure you are up and running before day one at your new broker dealer or custodian
  • Use our professional support to help with issues ranging from competitive pricing for furniture, supplies, and even computers and telephone systems
  • Acquire recruiting assistance to help with sourcing and interviewing potential staff, from Sales Assistants to Technical Support Staff

Transition Assistance

We work closely with transition professionals that have many years of industry experience and know the paperwork logistics and regulations of changing broker dealers.

  • Transition support for offices changing to a new broker dealer or custodian, with or without an office that has an existing support team or OSJ assistance
  • Data aggregation, printing, mailing, e-signature, ACAT tracking, household setup, etc.
  • Virtual office assistant and mass mailing

Transition Assistance

We work closely with transition professionals that have many years of industry experience and know the paperwork logistics and regulations of changing broker dealers.

  • Transition support for offices changing to a new broker dealer or custodian, with or without an office that has an existing support team or OSJ assistance
  • Data aggregation, printing, mailing, e-signature, ACAT tracking, household setup, etc.
  • Virtual office assistant and mass mailing

Industry-Specific Legal Referrals

AdvisorBridge works closely with experienced legal professional who have years of SEC and FINRA experience. Helping advisors through the process of reviewing contracts and designing the best strategies to leave your current firm is an important step. From the start-up process, initial filing of documents through ongoing compliance monitoring, AdvisorBridge can refer you to the best and most experienced legal professionals in the industry.

  • Nationally recognized attorney referrals
  • Securities law experts (FINRA and SEC)
  • Review contracts for regulatory and compliance solutions
  • Experts at establishing RIA and Hybrid practices

Industry-Specific Legal Referrals

AdvisorBridge works closely with experienced legal professional who have years of SEC and FINRA experience. Helping advisors through the process of reviewing contracts and designing the best strategies to leave your current firm is an important step. From the start-up process, initial filing of documents through ongoing compliance monitoring, AdvisorBridge can refer you to the best and most experienced legal professionals in the industry.

  • Nationally recognized attorney referrals
  • Securities law experts (FINRA and SEC)
  • Review contracts for regulatory and compliance solutions
  • Experts at establishing RIA and Hybrid practices

FDIC-Insured Business Banking, Acquisition and Succession Financing

Sometimes the hardest part of the succession plan is how your successor will be able to afford the purchase of your business. What makes this area of lending so unique – is that traditional banks want collateral and won't go near this business because it is considered "free cash flow good will lending". We have banking partners that are FDIC-insured and have financed hundreds of practices with many years of experience.

  • Finance resources for investment advisors
  • Advice and support in financing and structuring the purchase of an advisor's business
  • Structure and support in the design of a "partner buyout" along with financing options

FDIC-Insured Business Banking, Acquisition and Succession Financing

Sometimes the hardest part of the succession plan is how your successor will be able to afford the purchase of your business. What makes this area of lending so unique – is that traditional banks want collateral and won't go near this business because it is considered "free cash flow good will lending". We have banking partners that are FDIC-insured and have financed hundreds of practices with many years of experience.

  • Finance resources for investment advisors
  • Advice and support in financing and structuring the purchase of an advisor's business
  • Structure and support in the design of a "partner buyout" along with financing options

Succession Planning

  • Introductions and referrals to industry-leading legal and financial experts
  • Expert help in structuring and executing a successful succession plan
  • Advice on ownership buyouts of existing partners
  • Expert advice on utilizing strategies to minimize cash necessary to acquire a practice

Succession Planning

  • Introductions and referrals to industry-leading legal and financial experts
  • Expert help in structuring and executing a successful succession plan
  • Advice on ownership buyouts of existing partners
  • Expert advice on utilizing strategies to minimize cash necessary to acquire a practice

Specialized Industry Marketing

We partner with a marketing consultation firm that was founded by industry leaders, who are now the premier providers of marketing support for financial advisors and financial services companies.

They have deep expertise and offer a full range of solutions to serve your marketing support needs, including:

  • Website development
  • LinkedIn profile optimization
  • Video and multi-media
  • Recruitment marketing
  • Market research
  • Print collateral
  • Direct mail
  • Client acquisition strategies
  • Referral programs
  • Social media support
  • Seminar and event marketing
  • Media planning
  • Strategic planning

Specialized Industry Marketing

We partner with a marketing consultation firm that was founded by industry leaders, who are now the premier providers of marketing support for financial advisors and financial services companies.

They have deep expertise and offer a full range of solutions to serve your marketing support needs, including:

  • Website development
  • LinkedIn profile optimization
  • Video and multi-media
  • Recruitment marketing
  • Market research
  • Print collateral
  • Direct mail
  • Client acquisition strategies
  • Referral programs
  • Social media support
  • Seminar and event marketing
  • Media planning
  • Strategic planning