Études de cas

David & Jonathan S. – Father-Son Transition, $700M AUMIndependent RIA, Dual-Registered, Midwest U.S. / Ontario David S. had spent over 30 years building a respected

Sean M. – Independent Financial Advisor, $280M AUMFormerly regional bank financial advisor At 40, Sean felt constrained at his bank-owned broker-dealer, facing a limited product

Tom R. – Independent Financial Advisor, Book Sale $235M AUM Ten years before his planned advisor retirement, Tommy hired a junior associate with the goal

Claudette T. – Retired Financial Advisor After 30+ years in practice, Claudette was ready to retire—but not at any cost. Her firm’s suggested successor lacked

Chad W. – Independent Financial Advisor, $480M AUMFormerly national bank advisor After 18 successful years with a bank-owned broker-dealer, Chad clashed with a new Regional

Julie G. – Client Relationship Manager (Referral Advisor), $122M AUMFormerly Registered Representative Bertha was growing frustrated with the increasing compliance demands of her broker-dealer plus