Why this matters
For advisors going RIA, transition success is rarely about one big moment. It’s the accumulation of dozens of small, high-stakes decisions made under time pressure. This playbook is designed to reduce uncertainty, protect client continuity, and help you move from “considering” to “executing” with confidence. A structured timeline helps advisors going RIA manage operational, legal, and client communication milestones.
Weeks 12–9
Advisors going RIA should lock in the operating model, licenses, custody approach, and operating assumptions during this stage. This is where most future problems are prevented.
- Counsel retained
- Custody shortlist
- Compliance approach defined
- Operating model drafted
Weeks 8–5
For advisors going RIA, this phase focuses on building the infrastructure required to launch week one.
- CRM + workflows
- Custodian onboarding
- Service calendar
- Ops checklists
Weeks 4–2
Advisors going RIA should prepare client communications and finalize execution during this phase.
- Client segmentation
- Scripts + FAQ
- Packet templates
- Rehearsal + contingency planning
