Ria ❲Premium Quality❳

: Consult a securities attorney to understand non-solicitation clauses and Broker Protocol rules.

: Avoid being a generalist; instead, focus on specific client profiles such as tech executives, physicians, or small business owners to build specialized expertise.

: Generally for firms managing under $100 million in client assets.

: Model your revenue against operating costs (E&O insurance, technology, healthcare) and set measurable goals for assets under management (AUM).

Moving clients from a previous broker-dealer requires extreme care to avoid legal disputes.