Advisor Transition & Strategic Recruiting

Whether you are planning a strategic move or defending your career against a sudden termination, we protect your AUM and secure your landing at the right firm.

Start Your Confidential Transition

Advisor Transition & Strategic Recruiting

Whether you are planning a strategic move or defending your career against a sudden termination, we protect your AUM and secure your landing at the right firm.

Engage Our Experts

Start Your Confidential Transition

Defensive Muscle. Strategic Placement. Secure Transitions.

A transition is a critical growth milestone. You need more than a recruiter—you need an advocate with the M&A expertise to insulate your practice from the friction of a move. We combine elite placement with U5 defense and strategic advocacy to ensure your reputation and your revenue move with you.

Strategic Path

Practice Upgrades

If you are seeking lower overhead, advanced technology, or a more competitive payout, we streamline the move to save you time and eliminate the hassle of a transition.

Debt & Note Resolution

We coordinate capital sourcing to pay off existing promissory notes and secure lending for your new entity.

Economic Optimization

We negotiate transition kickers and lower expense ratios to maximize your net-after-tax bottom line.

Protocol Oversight

We manage Broker Protocol compliance to ensure your client data transfer is defensible and protected.

Start Your Confidential Transition

Strategic Path

Practice Upgrades

If you are seeking lower overhead, advanced technology, or a more competitive payout, we streamline the move to save you time and eliminate the hassle of a transition.

Debt & Note Resolution

We coordinate capital sourcing to pay off existing promissory notes and secure lending for your new entity.

Economic Optimization

We negotiate transition kickers and lower expense ratios to maximize your net-after-tax bottom line.

Protocol Oversight

We manage Broker Protocol compliance to ensure your client data transfer is defensible and protected.

Start Your Confidential Transition

Advocacy Path

Emergency Landing

Specialized for advisors facing a termination or permitted to resign status where timing is measured in hours.

The "Landed" Advantage

We maintain a private marketplace of firms that prioritize your talent over a temporary regulatory hurdle. We know who says "yes" when the industry says "no."

Concurrent Defense

Simultaneous negotiation of U5 language and note mitigation while securing your new home.

Lending & Note Payoffs

We have the relationships to get you approved for the capital needed to buy out of your current contract or fund your new entity.

U5 Defense & Landing Support

Advocacy Path

Emergency Landing

Specialized for advisors facing a termination or permitted to resign status where timing is measured in hours.

The "Landed" Advantage

We maintain a private marketplace of firms that prioritize your talent over a temporary regulatory hurdle. We know who says "yes" when the industry says "no."

Concurrent Defense

Simultaneous negotiation of U5 language and note mitigation while securing your new home.

Lending & Note Payoffs

We have the relationships to get you approved for the capital needed to buy out of your current contract or fund your new entity.

U5 Defense & Landing Support

Our Core Capabilities

01

Firm Matching

Access to RIAs, BDs, and hybrid models nationwide.

02

Narrative Framing

We advocate for your reputation, not just your resume. U4/U5 protection.

03

Note Negotiation

Strategic liaison services for a clean financial break.

Advisor Transition FAQ

Will my current firm find out I’m looking?

Absolutely not. We operate in total stealth mode. We don't use public job boards or blast your resume. Introductions are only made to vetted firms after a mutual interest is established and a non-disclosure agreement is in place.

How is this service free for advisors?

Our transition and recruiting services are buy-side funded. Destination firms and acquirers pay for access to our vetted talent pool. This allows you to utilize our advocacy and placement muscle with $0 out-of-pocket and no reduction in your payout.

Can you help if I have a "dirty" U5 or a note balance?

Yes—this is our specialty. Unlike traditional recruiters who avoid complicated cases, we lead with advocacy. We help frame your narrative, negotiate note settlements, and find firms that prioritize your AUM over temporary regulatory hurdles.

How fast can you secure a landing?

For strategic upgrades, we move at your pace. For emergency landings (terminations), we move in hours. Our team is structured to respond immediately, often securing a path to a new home before the previous firm's paperwork is even processed.

Meet Your Experts

Josh Barber

CIO & Co-Founder

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Jason Kirkland

Executive Director

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Kayla Mulanax

Executive Assistant

Anthony Novelle

RIA M&A Account
Development

Courtney Raymond

Director of Strategic Development

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Ric Rivard

Business Development Executive

Stacy Santmyer

Executive Vice President

Expert legal consultation services offered by AdvisorLaw LLC to help clients navigate complex law issues efficiently. Specialized in legal advisory and law consulting.

What Our Clients Say About Us

What Our Clients
Say About Us

"Hard working group of folks assisting me in matters of expertise, on their end, with an emphasis on results."

- Rob Ryan⭐⭐⭐⭐⭐

"Great advice, excellent coaching, flawless execution. Highly recommended!"

- Dean Giella⭐⭐⭐⭐⭐

"Listened to my needs, thorough and methodical process to get me from the start to completion, attention to detail"

- Steve Kennedy⭐⭐⭐⭐⭐

"Very happy with their service through the entire process. They set expectations from the beginning and delivered through a lengthy process."

- Bill H⭐⭐⭐⭐⭐

"Hard working group of folks assisting me in matters of expertise, on their end, with an emphasis on results."

- Rob Ryan⭐⭐⭐⭐⭐

"Great advice, excellent coaching, flawless execution. Highly recommended!"

- Dean Giella⭐⭐⭐⭐⭐

"Listened to my needs, thorough and methodical process to get me from the start to completion, attention to detail."

- Steve Kennedy⭐⭐⭐⭐⭐

"Very happy with their service through the entire process. They set expectations from the beginning and delivered through a lengthy process."

- Bill H⭐⭐⭐⭐⭐

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Stay Ahead Of
The Curve

Stay Ahead Of The Curve

Stay Ahead Of
The Curve

INDUSTRY INSIGHTS

Stay Ahead Of
The Curve

INDUSTRY INSIGHTS

Apr. 16, 2026

Modernizing FINRA Arbitration: The Looming Threat to Form U5 Expungement

Apr. 02, 2026

The Hidden Multiplier: How Clearing Your Record Today Maximizes Your RIA’s Exit Value

Mar. 27, 2026

FINRA Panel Clears Baseless Advisory Fee Dispute For Florida Financial Advisor

Mar. 23, 2026

RIA Partnership Disputes: The Critical Risk of CRD/IARD Super Account Administrator (SAA) Control

Mar. 19, 2026

FINRA Panel Grants Triple Expungement For New York Financial Advisor

Protect your AUM. Secure your future.

Whether you’re planning a move or need an emergency landing, our transition team is ready to act.

Advisor Transition & Strategic Recruiting (Growth) | Contact Form (#123)

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