Which operating model matches?
Independent BD, corporate RIA, hybrid RIA, independent RIA, and tuck-in models can solve different problems. We make those tradeoffs explicit.
Framework crosswalkCompatibility
Broker-dealer & RIA platform search
Find the platform that aligns with the practice you are building.
Compare broker-dealers, RIAs, hybrid models, transition economics, and operational alignment through one platform-agnostic process.
Or call Rick directly: (303) 246-4352
Anonymous starting point100% confidentialNo cost to advisors
A better starting point
Evaluate the current platform before shopping for the next one.
A platform search is a structured comparison of the broker-dealer, RIA, or hybrid models that could support your clients and business better than the status quo.
We begin by defining what is working, what is not, and what would need to improve enough to justify disruption. That baseline keeps a polished pitch or large transition check from becoming the only comparison.
Read the platform comparison guide
The 6C Alignment Framework
Turn firm promises into comparable evidence.
Your priorities are weighted before platforms are shortlisted. Every meeting, reference call, and economic model then answers the same decision criteria.
Explore the full frameworkCultureLeadership, autonomy, values, and how the firm behaves when things get hard.
CommunityPeer quality, collaboration, training, and practice-management support.
CompatibilityAlignment with your clients, niche, service model, and growth goals.
CapabilityTechnology, operations, compliance, investments, and transition execution.
CompensationPayout, transition terms, costs, hurdles, and economics over time.
CapitalAcquisition financing, equity, growth investment, and succession flexibility.
The comparison
What the search should make clear.
The goal is not a longer firm list. It is a smaller set of well-supported options, compared on the details that will matter after the move.
Can the platform deliver?
Demos, documentation, advisor references, and market context help separate a repeatable capability from a good presentation.
Framework crosswalkCapabilityWhat is the real value?
Model the transition package, payout, expenses, forgivable-note terms, hurdles, and capital opportunities across multiple time horizons.
Framework crosswalkCompensation + CapitalWhat will change for clients?
Review repapering, product restrictions, service continuity, communication, and the practical work needed to retain trust.
Framework crosswalkCulture + CompatibilityHow will the transition run?
Assess onboarding capacity, staffing, compliance, account transfer support, and who owns each workstream.
Framework crosswalkCommunity + CapabilityWhat options remain later?
Compare acquisition support, succession programs, equity, ownership flexibility, and the conditions attached to capital.
Framework crosswalkCapitalThe process
A deliberate search, on your timeline.
Most of the work happens before a firm meeting: defining priorities, narrowing the field, and deciding what each platform needs to prove.
Discovery
Document the practice, pain points, goals, client needs, and reasons to stay.
6C profile
Weight the decision criteria and identify platforms that can address the right gaps.
Due diligence
Coordinate meetings, demos, references, economic models, and side-by-side analysis.
Decision & transition
Support negotiation, planning, execution, and the first 180 days after the move.
FAQ
Broker-dealer and RIA transition questions.
What is a broker-dealer transition consultant?
A broker-dealer transition consultant helps a financial advisor compare broker-dealer options, transition economics, client impact, technology, operations, compliance alignment, and long-term platform alignment before changing firms.
Can Continuum help compare RIA and broker-dealer options?
Yes. Continuum helps advisors compare independent broker-dealer, hybrid RIA, corporate RIA, and independent RIA options using the 6C Alignment Framework.
How should an advisor evaluate transition compensation?
Look beyond the headline check. The better comparison includes total economics, note terms, hurdles, platform costs, growth support, succession flexibility, and the likely 3-, 5-, and 10-year outcome.
Does Continuum charge advisors for platform search?
No. Continuum does not charge advisors a retainer, consulting fee, or percentage of the transition package for platform search. The receiving firm pays Continuum after a completed transition.
A confidential next step
See whether your current platform still earns its place.
Pressure-test the case for change with Rick before a transition offer or firm presentation starts driving the decision.
- Platform-agnostic
- 100% confidential
- No cost to advisors
Rick KerstiensCo-Founder & CEO
Speak directly with Rick
Schedule a confidential call
Choose a time that works for you.
A Decision Brief conversation. He responds within one business day. Staying is a valid outcome.
Prefer phone or email?
Prefer to write first?
Ask about your platform search.
Share what is no longer working, the models you are considering, or an offer you want to compare. A short note is enough to start.