What this is (and isn’t)
A practical readiness checklist across economics, operations, compliance, and client portability—designed to surface gaps before they become expensive.
Note: This is educational and not legal advice. Treat it as a primer so you can ask better questions of counsel.
Key takeaways
- Readiness is operational, not emotional.
- If you can’t describe day-one workflow, you’re not ready yet.
- Compliance and recordkeeping decisions come earlier than most expect.
- Client communication must be scripted and sequenced.
- A transition team reduces chaos, but you still need an owner.
The 12-point checklist
- Economics model complete
- Restrictions map complete
- Custody path selected
- Tech stack selected
- Billing model defined
- Service calendar defined
- Client comms drafted
- Repapering workflow defined
- Staffing plan ready
- Compliance support selected
- Archiving and cybersecurity plan
- 90-day post-move plan
Disclosure
RIA Confidential is an educational resource center. Nothing on this page is legal, tax, or compliance advice. Consult qualified legal and compliance professionals for guidance specific to your circumstances.
