Advisors at every stage of breaking away and looking to build enterprise value.
Some are running the numbers for the first time. Others have a resignation date. We meet advisors wherever they are and give them a firm to affiliate with rather than one to build.
Wirehouse Advisors
Advisors with an established book who are constrained by platform rules, payout grids, and product shelves, and who want to practice under their own name.
Independent Broker-Dealer Advisors
Registered reps ready to drop their FINRA affiliation and move to a fee-only fiduciary model without registering an RIA of their own.
Breakaway Teams
Two or more advisors leaving together who want shared infrastructure from day one rather than building a firm while transitioning clients.
Solo Advisors
Advisors going out on their own who need a compliant platform, custody, and technology immediately, with a brand that is entirely theirs.
Existing RIA Owners
Firm owners tired of carrying compliance, technology, IT, and vendor management who would rather affiliate and focus on clients.
You affiliate as a 1099 independent contractor, not a W-2 employee. You run your own practice, set your own service model, and handle your own payroll, benefits, and business expenses.
Affiliation is a flat monthly fee plus a tiered payout schedule: 90% on the first $500,000 of annual gross revenue, 95% from $500,001 to $1,000,000, 96% from $1,000,001 to $2,000,000, and 97% above that. Platform access, custody pricing, the technology stack, compliance support, IT, cybersecurity, and E&O and cyber insurance are covered. Final terms are set in the affiliation agreement.
Yes, most advisors affiliate under their own brand and continue serving clients under the name they have built. Breakaway Independent Advisors is the registered investment advisor behind the practice, disclosed as required, while your client-facing identity remains yours.
We hold custodial contracts with Altruist. The technology stack runs on Advyzon for portfolio management, CRM, trading and rebalancing, billing, and reporting, with a client website portal included. Add-on financial planning tools and additional technology are available at your election.
No. That is the point of the model. You practice under our existing registration, so there is no entity to form, no Form ADV to file, and no ongoing registration to maintain in your own name.
Client retention depends heavily on your existing agreements, any Protocol for Broker Recruiting status, and how carefully the outreach is sequenced. We help you plan a transition that respects your legal obligations and gives clients a clear reason to move with you. We will help you craft your story and “Why” to assist in your client retention during the transition
Independence isn’t right for everyone.
An introductory conversation is a chance for both sides to evaluate. You learn what affiliation really involves, the fee, the payout tiers, the platform, and the transition timeline. We learn whether your practice and client base fit our model. If it isn’t a fit, we’ll say so.
A confidential conversation is the simplest place to begin.