RIA Readiness Check Tool
The RIA Transition Readiness Assessment helps financial advisors evaluate whether they are prepared to transition to independence and launch their own RIA. This assessment highlights key considerations including operational readiness, platform decisions, compliance responsibilities, and business development planning.
The RIA Transition Readiness Assessment helps financial advisors evaluate whether they are prepared to transition to independence and launch their own RIA. This assessment highlights key considerations including operational readiness, platform decisions, compliance responsibilities, and business development planning.
RIA CONFIDENTIAL TOOL
Take the Transition Readiness Test Here
Answer 25 questions. Get a score, your tier, and a 7-day action plan.
How scoring works: Yes = 1, Not sure/No = 0. Total = 25.
This assessment is for planning and education. It is not legal, tax, or investment advice.
The 7-area readiness scorecard
- Client segmentation and portability considerations
- Current agreements and constraints (non-solicit, repayment, and so on)
- Operations coverage: who does what weekly
- Tech and data migration plan
- Compliance supervision and support plan
- Branding and communication plan
- Timeline and capacity
What “green” looks like
- Clear target model and timeline
- Named owner for operations tasks during the transition
- A documented client communication sequence
- A first-6-month stack chosen (not a forever stack)
What's Next?
Build Your Roadmap
- If you score yellow/red: Build your Roadmap and close the gaps.
Run the Cost of Delay
- If you score green: run Cost of Delay and set a target execution window.
Get weekly Signals + best resources
- platform and deal shifts that affect independence
- execution risk updates and compliance signals
- new tools, hubs, and guides as they’re published
